Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Doreen? Claim Your ProfileDoreen Yoo is a financial professional with over 30 years of experience in the industry. Doreen is currently registered with Wells Fargo Securities, LLC, and has held previous positions with Wells Fargo Advisors Financial Network, LLC, UBS Financial Services Inc., and Morgan Stanley Smith Barney. Doreen is licensed to offer investment advice and securities products in North Carolina and South Carolina. Doreen holds a wide range of professional licenses including Series 7, Series 6, Series 63, and Series 66 licenses.
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
NC
06/15/2022 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
CT
10/28/2016 - 06/09/2022
WELLS FARGO CLEARING SERVICES, LLC (DANBURY CT)
VA
10/28/2016 - 04/17/2019
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (GLEN ALLEN VA)
NY
12/01/2014 - 04/01/2016
TRADEWEB DIRECT LLC (NEW YORK NY)
NY
11/06/2012 - 12/05/2014
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
06/01/2009 - 03/27/2012
MORGAN STANLEY SMITH BARNEY (PURCHASE NY)
NY
10/19/2004 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
04/04/1990 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
NA
08/24/1987 - 03/12/1990
DREXEL BURNHAM LAMBERT INCORPORATED
NA
02/04/1986 - 07/23/1987
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
04/12/1985 - 01/09/1986
KIDDER, PEABODY & CO. INCORPORATED
NA
11/21/1984 - 04/08/1985
CRALIN & CO., INC.
BOTH
Issued 04/28/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/16/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/09/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/13/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/04/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/17/1984
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 Emerald, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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