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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shu mei? Claim Your ProfileShu mei Yu is a financial advisor at Morgan Stanley. Shu mei Yu has 19 years of experience in the financial industry. Shu mei Yu has a Series 6, 7, 9, 10, 63, and 65 license and is registered in California and Texas. Shu mei Yu specializes in providing financial advice to individuals, businesses, high-net-worth individuals, insurance companies, investment companies, charitable organizations, pension and profit-sharing plans, banking or thrift institutions, corporations or other businesses, and state or municipal government entities. Shu mei Yu offers a variety of services including financial planning, asset allocation advice, selection of other advisers, and portfolio management for businesses and individuals. Shu mei Yu is committed to providing clients with personalized financial advice and helping 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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
09/01/2021 - Present
Morgan Stanley (Pasadena CA)
CA
02/19/2015 - 10/26/2017
J.P. MORGAN SECURITIES LLC (ARCADIA CA)
CA
04/05/2010 - 03/04/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
02/13/2006 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MONTERREY PARK CA)
PA
01/01/2005 - 02/14/2006
HSBC SECURITIES (USA) INC. (PHILADELPHIA PA)
NY
12/08/2003 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NJ
10/02/2002 - 12/08/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 04/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/17/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2004
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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