Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yu-fan? Claim Your ProfileYu-fan Chiang is a financial advisor with Stifel, Nicolaus & Company, Inc., and has been in the industry since 1993. Yu-fan specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and pooled investment vehicles. Yu-fan has been registered with the Securities and Exchange Commission since 1990 and has passed the Series 63, 66, and 7 exams. Prior to joining Stifel, Nicolaus & Company, Inc. Yu-fan worked at Barclays Capital Inc. and Lehman Brothers Inc. Yu-fan is a member of the Financial Industry Regulatory Authority (FINRA).
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.
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
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (SAN FRANCISCO CA)
CA
09/22/2008 - 12/04/2015
BARCLAYS CAPITAL INC. (SAN FRANCISCO CA)
CA
05/01/2000 - 09/22/2008
LEHMAN BROTHERS INC. (SAN FRANCISCO CA)
NY
01/11/2000 - 05/08/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
06/28/1999 - 02/16/2000
VOLPE BROWN WHELAN & COMPANY, LLC (SAN FRANCISCO CA)
CA
09/01/1998 - 06/09/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
CA
10/01/1997 - 09/01/1998
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
CA
12/16/1993 - 10/01/1997
ROBERTSON, STEPHENS & COMPANY LLC (SAN FRANCISCO CA)
MO
09/17/1990 - 06/10/1991
KEMPER SECURITIES GROUP, INC. (ST. LOUIS MO)
BOTH
Issued 07/26/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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