Lucy E. Yang
Professional summary
Lucy Elizabeth Yang, who also goes by Lucy Yang, is a registered financial professional currently at CASCADIA CAPITAL, LLC located in New York, New York.
Lucy is registered as a RR (Registered Representative) and started their career in finance in 2021. Lucy has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lucy Elizabeth Yang's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2026 - Present
CASCADIA CAPITAL, LLC
Office #1: 477 Madison Avenue 18th Floor, New York, NY 10022June 5, 2023 - June 22, 2026
INTREPID INVESTMENT BANKERS LLC
July 1, 2021 - June 8, 2023
PNC CAPITAL MARKETS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/29/2026)
Exams
Series 79TO
Date: 8/3/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/1/2021
General Securities Representative ExaminationFINRA
Current Firm
CASCADIA CAPITAL, LLC
CRD#: 101020 / SEC#: , 8-52064
Contact information
FINRA licenses (14 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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