Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ken? Claim Your ProfileKen Chung Yin is a financial advisor who has been in the industry since 2000. Ken has a strong track record of success with a diverse client base, including high-net-worth individuals, insurance companies, and charitable organizations. Ken has experience working with clients on a variety of financial needs, including financial planning, portfolio management, and investment advisory services. Ken is currently registered with J.P. Morgan Securities LLC and previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley, and TD Waterhouse Investor Services, Inc.
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
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2
CA
06/02/2017 - Present
J.p. Morgan Securities LLC (Rancho Palos Verdes CA)
CA
05/25/2015 - 03/17/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BALDWIN PARK CA)
CA
06/01/2009 - 10/06/2014
MORGAN STANLEY (SANTA MONICA CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LOS ANGELES CA)
CA
08/26/2005 - 04/02/2007
MORGAN STANLEY DW INC. (LOS ANGELES CA)
NE
11/02/2000 - 07/21/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
CA
08/15/2000 - 10/17/2000
J.B. OXFORD & COMPANY (SHERMAN OAKS CA)
NE
05/17/1999 - 08/14/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NY
11/18/1997 - 03/17/1998
AMERIVET SECURITIES, INC. (NEW YORK NY)
CA
05/29/1997 - 11/24/1997
OPTIMA SECURITIES, INC. (TORRANCE CA)
BC
Issued 06/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 12/18/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/2012
Series 3 - National Commodity Futures Examination
BC
Issued 09/13/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 05/05/1997
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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