Lucy E. Yang
Professional summary
Lucy Elizabeth Yang, who also goes by Lucy Yang, is a registered financial professional currently at INTREPID INVESTMENT BANKERS 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 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
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 5, 2023 - Present
INTREPID INVESTMENT BANKERS LLC
Office #1: 1221 Avenue Of The Americas, New York, NY 10020July 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
(6/5/2023)
(6/5/2023)
Exams
Series 79TO
Date: 8/3/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/1/2021
General Securities Representative ExaminationFINRA
Current Firm
INTREPID INVESTMENT BANKERS LLC
CRD#: 154801 / SEC#: , 8-68674
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| BAGDASARIAN, EDUARD | CEO | 1307175 |
| FREEDMAN, JAMES BARRY | MANAGING DIRECTOR, CHAIRMAN | 1616904 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MORIN, STACEY LYNN | CHIEF FINANCIAL OFFICER | 5649422 |
| ROSENBERG, W MICHAEL | SENIOR MANAGING DIRECTOR | 1617639 |
| SCANDURA, STEPHEN THOMAS | CHIEF COMPLIANCE OFFICER | 4539229 |
Red Flags
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