Frank Kwangjae Yi

Current Employers

Twin Lakes Capital

3 Lagoon Drive Suite 150, Redwood Shores, CA 94065 • United States

Current Registrations

Authority	Category	Status	Date
HI	RA	APPROVED	2025-01-01

HI RA
APPROVED

Since 2025-01-01

Branch Locations

55 Merchant St. Suite 1930, Honolulu, HI 96813 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tla Capital Management, Llc	Redwood Shores	CA	04/2010	12/2017

04/2010 → 12/2017

Tla Capital Management, Llc

Redwood Shores, CA

Previous Registrations

2016-04-28 → 2017-12-31

Tla Capital Management, Llc

Honolulu, HI
2003-02-14 → 2010-04-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Honolulu, HI

Honolulu, HI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-06-17
S63	Uniform Securities Agent State Law Examination	1991-11-25

S65 Uniform Investment Adviser Law Examination

2014-06-17
S63 Uniform Securities Agent State Law Examination

1991-11-25

View on SEC IAPD

Current Employers

Twin Lakes Capital

Disclosures

Employment History

Previous Registrations

Exams

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