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Cindy Yim Yeung

BNP Paribas Securities Corp.

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About Cindy Yim Yeung

Cindy Yeung is a financial professional with over 23 years of experience in the industry. Cindy has a strong background in securities, having held roles at several prominent firms, including BNP Paribas Securities Corp., BNP Paribas Prime Brokerage, Inc. and Bank of America Securities LLC. Cindy is currently registered with BNP Paribas Securities Corp. in New Jersey and New York. Cindy holds the Series 7, Series 63, Series 99TO and SIE licenses.

Firm Information

Cindy Yeung is currently registered with BNP Paribas Securities Corp.. BNP Paribas Securities Corp. is a Corporation formed on September 7, 1984, and is registered to provide financial services in all 50 U.S. states, the District of Columbia, and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

276

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Cindy Yeung’s Registration & Firm History

NJ

03/26/2018 - Present

BNP Paribas Securities Corp. (Jersey City NJ)

NY

08/19/2008 - 07/09/2018

BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)

NY

03/28/2006 - 10/01/2008

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

MA

08/04/2000 - 10/28/2005

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

NY

07/21/1999 - 07/12/2000

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NE

08/26/1998 - 07/27/1999

WATERHOUSE SECURITIES, INC. (OMAHA NE)

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Licenses & Designations

BC

Issued 09/16/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/25/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

M

Miami International Securities Exchange, 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 PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Cindy Yim Yeung.
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