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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 advisor at Fidelity Personal and Workplace Advisors. Jeffrey has been in the financial services industry since February 16, 2018 and has a strong record of success. Jeffrey holds the Series 7, Series 63, and Series 65 licenses. Jeffrey is registered in 40 states and is also a registered investment advisor representative in California and Texas. Jeffrey specializes in providing financial planning, portfolio management, and educational seminars to individuals and families. Jeffrey is committed to helping clients achieve their financial goals. Jeffrey has worked for several reputable firms including TD Ameritrade, Charles Schwab and Morgan Stanley before joining Fidelity Personal and Workplace Advisors.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
08/17/2023 - Present
Fidelity Personal AND Workplace Advisors (BREA CA)
CA
10/26/2022 - 05/09/2023
MORGAN STANLEY (Laguna Niguel CA)
CA
01/31/2022 - 10/17/2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (IRVINE CA)
CA
05/16/2019 - 12/20/2021
CHARLES SCHWAB & CO., INC. (Upland CA)
NE
08/21/2018 - 05/03/2019
TD AMERITRADE CLEARING, INC. (OMAHA NE)
NE
11/13/2017 - 05/03/2019
TD AMERITRADE, INC. (OMAHA NE)
IA
Issued 10/14/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/22/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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