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CRD#: 135111
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

YELLOW CARDINAL CORPORATE FINANCE, LLC is located at 9120 Union Centre Blvd Suite 200, West Chester, OH 45069 and was first established at Chicago, Ohio in 02/08/2005. After operating for 21 years, YELLOW CARDINAL CORPORATE FINANCE, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of YELLOW CARDINAL CORPORATE FINANCE, LLC’s clients are individuals and 0% of their clients are high net worth individuals. YELLOW CARDINAL CORPORATE FINANCE, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at YELLOW CARDINAL CORPORATE FINANCE, LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access YELLOW CARDINAL CORPORATE FINANCE, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at YELLOW CARDINAL CORPORATE FINANCE, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.

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Where the Statistical Data for YELLOW CARDINAL CORPORATE FINANCE, LLC Comes From

Understanding the Statistics for YELLOW CARDINAL CORPORATE FINANCE, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
1

FIRM INFORMATION

Main Address
9120 Union Centre Blvd Suite 200, West Chester, OH 45069
Mailing Address
9120 Union Centre Blvd Suite 200, West Chester, OH 45069
Firm Size
Small
Phone Number
(513) 603-4046
Established
Ohio since 02/08/2005
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
FIRST FINANCIAL BANCORPOWNER
CORNELL, SHANNON MARIEPRESIDENT AND CCO4746478
GMEINER, THOMAS JUDEFINOP5209167
WARNER, KEITH ANDREWAMLCO5130011

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Advisor's working at YELLOW CARDINAL CORPORATE FINANCE, LLC

GG

George Nicholas Gates

George N Gates
RR
CRD#: 7800889
Location:
Cincinnati, OH 45202
Company:
YELLOW CARDINAL CORPORATE FINANCE, LLC
Disclosures:
Experience:
1 year
View Profile
SC

Shannon Marie Cornell

Shannon Marie Peffly
RR
CRD#: 4746478
Location:
West Chester, OH 45069
Company:
YELLOW CARDINAL CORPORATE FINANCE, LLC
Disclosures:
Experience:
21 years
View Profile
LS

Laura Ann Shaw

Laura Ann Burrows, Laura A Shaw
RR
CRD#: 6408748
Location:
West Chester, OH 45069
Company:
YELLOW CARDINAL CORPORATE FINANCE, LLC
Disclosures:
Experience:
9 years
View Profile
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