Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leon? Claim Your ProfileLeon Yu is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Leon is registered with the Securities and Exchange Commission (SEC) and has been in the securities industry for over 2 years. Leon is also registered with the Financial Industry Regulatory Authority (FINRA). Leon is currently licensed in California and Texas and is able to provide investment advice to a wide range of clients including individuals, corporations, charitable organizations, pension and profit-sharing plans, insurance companies, and state or municipal government entities. Leon has a broad range of experience in the financial services industry, including experience in portfolio management, investment advice, and financial planning. Leon is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Guidance on pension options to ensure a secure financial future.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
08/15/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
BOTH
Issued 05/27/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/2022
Series 7TO - General Securities Representative Examination
BC
Issued 09/01/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Leon Yu is the right advisor for you? Invested Better is here to help.
