Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Esther? Claim Your ProfileEsther Yao is a financial advisor with Nuveen Securities, LLC. Esther has over 20 years of experience in the financial services industry. Esther has a Series 7, Series 63, and Series 66 license, and a SIE exam. Esther has worked at several firms including Charles Schwab & Co., Inc., Morgan Stanley and Salomon Smith Barney Inc. Esther is registered with the state of Illinois as an investment advisor. Esther is currently located in Denver, CO.
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.
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2
CO
11/30/2020 - Present
Nuveen Securities, LLC (Denver CO)
CO
09/15/2017 - 11/20/2020
CHARLES SCHWAB & CO., INC. (Lone Tree CO)
CO
02/25/2015 - 08/21/2017
MORGAN STANLEY (GREENWOOD VILLAGE CO)
CA
06/01/2009 - 03/10/2010
MORGAN STANLEY SMITH BARNEY (MENLO PARK CA)
CA
08/02/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MENLO PARK CA)
CA
03/04/2003 - 03/01/2004
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
NY
04/24/1999 - 08/16/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/20/1995 - 05/13/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BOTH
Issued 03/26/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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