Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yancy? Claim Your ProfileYancy Yohannan is a financial professional with over 20 years of experience in the industry. Yancy is currently registered with State Street Global Markets, LLC in Boston, MA, where Yancy has been employed since August 2017. Yancy holds several licenses including Series 4, 7, 9, 14, 24, 55, 63, and 65 and has passed the SIE exam. Prior to joining State Street Global Markets, LLC, Yancy was employed by Stifel, Nicolaus & Company, Incorporated, Sterne, Agee & Leach, Inc., Boenning & Scattergood, Inc., RBC Capital Markets Corporation, FISERV Securities, Inc., RBC Dominion Securities Corporation, CSFBDIRECT, INC., and Worldco, L.L.C..
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.
1
2
MA
08/03/2017 - Present
State Street Global Markets, LLC (BOSTON MA)
AL
06/09/2015 - 10/28/2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BIRMINGHAM AL)
AL
02/06/2012 - 10/26/2015
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
PA
01/03/2006 - 02/07/2012
BOENNING & SCATTERGOOD, INC. (WEST CONSHOHOCKEN PA)
NY
05/03/2005 - 01/06/2006
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
PA
02/17/2004 - 04/25/2005
FISERV SECURITIES, INC. (PHILADELPHIA PA)
NY
03/07/2001 - 02/02/2004
RBC DOMINION SECURITIES CORPORATION (NEW YORK NY)
NJ
11/15/1999 - 02/26/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
NY
04/23/1999 - 06/07/1999
WORLDCO, L.L.C. (NEW YORK NY)
BC
Issued 01/07/2000
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/27/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/10/2003
Series 14 - Compliance Officer Examination
BC
Issued 10/16/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/04/2000
Series 24 - General Securities Principal Examination
BC
Issued 04/21/2000
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/10/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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