Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yu? Claim Your ProfileYu Ye is a financial professional with LPL Financial LLC, working out of the Salinas, CA office. Yu is a registered representative and investment advisor representative with LPL Financial LLC, and has been in the industry since August 2019. Yu has passed the Series 7, 63 and 66 exams. Yu has experience working with individuals, high-net-worth individuals, corporations, charitable organizations, investment clubs, and pension and profit-sharing plans.
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.
Consulting and other non-discretionary advisory services
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.
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CA
08/24/2020 - Present
LPL Financial LLC (SALINAS CA)
CA
08/16/2019 - 11/18/2019
NYLIFE SECURITIES LLC (STOCKTON CA)
BOTH
Issued 08/07/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/17/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/16/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/07/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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