Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yi? Claim Your ProfileYi Mao is a registered representative with Charles Schwab & CO., Inc. Yi has been in the securities industry since December 2021 and holds the Series 3, Series 7TO, and Series 63 licenses. Yi has been registered with TD AMERITRADE, INC. previously. Yi is currently licensed in 53 states. Yi is an active Broker/Dealer and Inactive Investment Advisor.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
09/01/2023 - Present
Charles Schwab & CO., Inc. (Westlake TX)
TX
12/02/2021 - 09/01/2023
TD AMERITRADE, INC. (Westlake TX)
BC
Issued 12/21/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/11/2024
Series 3 - National Commodity Futures Examination
BC
Issued 12/02/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/14/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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