Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Yau is a financial professional with over 30 years of experience in the financial services industry. Alice is currently registered with SG Americas Securities, LLC and has held previous positions with firms such as Scotia Capital (USA) Inc., HSBC Securities (USA) Inc., J.P. Morgan Securities Inc., Dean Witter Reynolds Inc., and Oppenheimer & Co., Inc. Alice holds a variety of licenses including Series 7, 9, 10, 24, 55, 57, 63, and 79, as well as the SIE exam.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
09/12/2022 - Present
SG Americas Securities, LLC (NEW YORK NY)
NY
01/13/2021 - 08/09/2022
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
03/30/2005 - 08/31/2020
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
09/24/1997 - 03/22/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/14/1995 - 09/15/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
08/31/1994 - 06/13/1995
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
01/20/1992 - 08/17/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 10/10/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/02/2001
Series 24 - General Securities Principal Examination
BC
Issued 02/04/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/17/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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