Yiu Chung Au Yeung
Professional summary
Yiu Chung Au Yeung was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Yiu Chung is a previously registered financial professional and started their career in finance in 2021. Prior to being barred, Yiu Chung had worked at 1 firm, which includes PACIFIC CENTURY SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2021 - November 20, 2023
PACIFIC CENTURY SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 6/23/2022
Securities Trader ExamSeries 79TO
Date: 4/19/2022
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/27/2021
General Securities Representative ExaminationCurrent Firm
PACIFIC CENTURY SECURITIES, LLC
CRD#: 131607 / SEC#: , 8-66487
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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