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Roy Yan

Velocity Clearing, LLC

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About Roy Yan

Roy Yan has been in the financial services industry since June 11, 2013. Roy Yan is currently registered with Velocity Clearing, LLC and Velocity Capital, LLC. Roy Yan has passed the following exams: Series 3, Series 7TO, SIE, Series 57, Series 55, Series 7, Series 24, Series 63. Roy Yan was previously registered with MIRAE ASSET SECURITIES (USA) INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and D. E. SHAW INVESTMENTS, L.P..

Firm Information

Roy Yan is currently registered with Velocity Clearing, LLC. Velocity Clearing, LLC is a Limited Liability Company formed in June 2010 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC and has been involved in 4 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

87

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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Roy Yan’s Registration & Firm History

NY

04/02/2024 - Present

Velocity Clearing, LLC (New York NY)

NY

07/18/2017 - 12/10/2018

MIRAE ASSET SECURITIES (USA) INC. (NEW YORK NY)

NY

02/24/2006 - 01/02/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

10/11/1993 - 05/13/1996

D. E. SHAW INVESTMENTS, L.P. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/14/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/02/2021

Series 24 - General Securities Principal Examination

BC

Issued 12/21/2021

Series 3 - National Commodity Futures Examination

BC

Issued 09/30/2020

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/18/2017

Series 57 - Securities Trader Exam

BC

Issued 11/01/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/23/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Roy Yan.
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