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Bryan Yi

Purshe Kaplan Sterling Investments

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About Bryan Yi

Bryan Yi is an investment advisor representative currently registered with Purshe Kaplan Sterling Investments. Bryan has worked in the financial services industry since 2001 and has previously worked with firms such as Securities America, Inc., ProEquities, Inc., SunAmerica Capital Services, Inc., and Wescom Financial Services. Bryan's current registration is active in both California and New York, having previously held registrations in multiple other states. Bryan holds the Series 7, Series 63, and SIE licenses.

Firm Information

Bryan Yi is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

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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Bryan Yi’s Registration & Firm History

NY

04/21/2022 - Present

Purshe Kaplan Sterling Investments (ALBANY NY)

CA

01/21/2021 - 04/21/2022

SECURITIES AMERICA, INC. (PASADENA CA)

AL

03/06/2009 - 06/29/2017

PROEQUITIES, INC. (BIRMINGHAM AL)

NJ

04/25/2006 - 02/18/2009

SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)

CA

05/12/2005 - 04/26/2006

WESCOM FINANCIAL SERVICES (ANAHEIM CA)

CA

07/20/2004 - 04/18/2005

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

PA

11/14/2003 - 06/14/2004

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

IN

10/22/2001 - 11/15/2003

LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)

IN

10/22/2001 - 11/14/2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)

NJ

08/30/1999 - 06/05/2000

LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)

NJ

12/10/1997 - 08/23/1999

SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)

NY

03/27/1995 - 01/07/1997

KIRLIN SECURITIES INC. (SYOSSET NY)

CA

02/24/1995 - 03/17/1995

BARABAN SECURITIES, INC. (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 02/12/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/29/2017

SIE - Securities Industry Essentials Examination

BC

Issued 02/23/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Bryan Yi.
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