Kwang YI

Kwang YI is currently employed as a Broker and/or Investment Adviser at TD AMERITRADE, INC. located at 1600 7th Avenue, Suite 115, Seattle, WA, 98101.

Kwang YI has worked at TD AMERITRADE, INC. since July 11, 2016

Disclosure History

Kwang YI has 1 Disclosure Event(s).

Date: November 28, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $16,615.16
Judgment/Lien Type: Civil
Broker Comment: This debt belongs to my spouse and I was unaware of this debt owed by my spouse.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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