Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Yau is a financial professional with over 16 years of experience in the industry. Jeffrey currently works at J.p. Morgan Securities LLC in New York, NY. Previously, Jeffrey has worked at UBS Financial Services Inc., Cetera Investment Services LLC, Barclays Capital Inc., Lehman Brothers Inc., Banc of America Securities LLC, Citigroup Global Markets Inc. and TD Waterhouse Investor Services, Inc. Jeffrey holds Series 3, 7, 9, 10, 24, 63, and 66 licenses. Jeffrey has experience working with a wide range of clients, including high-net-worth individuals, corporations, insurance companies, charitable organizations, and pension plans. Jeffrey's primary focus is providing financial planning and portfolio management services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
06/29/2018 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
08/24/2017 - 07/20/2018
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
CA
09/18/2015 - 12/01/2016
CETERA INVESTMENT SERVICES LLC (PASADENA CA)
CA
09/22/2008 - 09/17/2015
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
NY
04/03/2008 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
06/06/2006 - 04/09/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
02/14/2006 - 06/08/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NE
01/18/2001 - 08/24/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 03/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/08/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/15/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/14/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/13/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2011
Series 3 - National Commodity Futures Examination
BC
Issued 02/13/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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