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Wai-sum Yuen

Bernstein Institutional Services LLC

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About Wai-sum Yuen

Wai-sum Yuen is a registered representative with Bernstein Institutional Services LLC and previously worked at SG Americas Securities, LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Wai-sum Yuen has been in the industry since May 2, 2008. Wai-sum Yuen is also a registered options principal and holds the Series 4, Series 7, Series 16 and SIE licenses.

Firm Information

Wai-sum Yuen is currently registered with Bernstein Institutional Services LLC. Bernstein Institutional Services LLC is a Limited Liability Company registered with the SEC and in all 50 states, plus Puerto Rico and the Virgin Islands. The firm was formed on October 15, 2021, and has 227 registered representatives and 85 investment advisory functions. Bernstein Institutional Services LLC provides educational seminars and publishes periodicals, and offers a range of advisory services.
Bernstein Institutional Services LLC

245 PARK AVE

NEW YORK, NY 10167

Not reported

Assets Under Management

Not reported

Total Clients

152

Total Financial Advisors

Services Offered

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.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Wai-sum Yuen’s Registration & Firm History

NY

03/29/2024 - Present

Bernstein Institutional Services LLC (NEW YORK NY)

NY

04/17/2008 - 03/28/2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/10/2014

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/2013

Series 7 - General Securities Representative Examination

BC

Issued 04/07/2008

Series 16 - NYSE Supervisory Analyst Examination

State Registrations

Active

Inactive

SRO Registrations

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 PEARL, 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

Disclosures

There are no public disclosures for Wai-sum Yuen.
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