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Seong Jae Yoon

Duomo Capital

Albany, NY

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Current Employers
Duomo Capital

418 Broadway #6326, Albany, NY 12207 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-09
NY RA APPROVED 2024-05-22
  • CA RA
    APPROVED
    Since 2024-07-09
  • NY RA
    APPROVED
    Since 2024-05-22

Branch Locations

418 Broadway #6326, Albany, NY 12207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Guggenheim Securities, Llc New York NY 07/2020 09/2022
Nyu New York NY 08/2016 05/2019
Guggenheim Securities New York NY 06/2019 08/2019
Unemployed Fullerton CA 09/2019 06/2020
Parnassus Investments San Francisco CA 10/2022 05/2024
Strikeout Capital Llc Albany NY 05/2024 Present
  • 07/2020 → 09/2022
    Guggenheim Securities, Llc
    New York, NY
  • 08/2016 → 05/2019
    Nyu
    New York, NY
  • 06/2019 → 08/2019
    Guggenheim Securities
    New York, NY
  • 09/2019 → 06/2020
    Unemployed
    Fullerton, CA
  • 10/2022 → 05/2024
    Parnassus Investments
    San Francisco, CA
  • 05/2024 → Present
    Strikeout Capital Llc
    Albany, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-02-02
S63 Uniform Securities Agent State Law Examination 2020-08-14
  • S65 Uniform Investment Adviser Law Examination
    2024-02-02
  • S63 Uniform Securities Agent State Law Examination
    2020-08-14
Other Names
  • Jake Yoon
  • Seongjae Yoon

View on SEC IAPD

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Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

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