Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yan yan? Claim Your ProfileYan Yan Yu is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with over 17 years of experience in the financial services industry. Yan Yan Yu has held previous positions at BANC OF AMERICA INVESTMENT SERVICES, INC. and has a broad range of experience in the financial services industry. Yan Yan Yu specializes in portfolio management for individuals and businesses, pension consulting and educational seminars. Yan Yan Yu is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA). Yan Yan Yu holds Series 66, SIE and Series 7 licenses and is also registered in a number of states.
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
02/15/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN MATEO CA)
CA
02/23/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
BOTH
Issued 05/30/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2006
Series 7 - General Securities Representative 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
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