Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yung? Claim Your ProfileYung Yi is a financial advisor with over 20 years of experience in the industry. Yung is currently registered with Wells Fargo Clearing Services, LLC and has previously worked with J.P. Morgan Securities LLC, Edward Jones, Citigroup Global Markets Inc. and AXA Advisors, LLC. Yung specializes in providing investment advisory and financial planning services to individuals, businesses and institutional clients. Yung has a strong understanding of the financial markets and is committed to providing clients with personalized advice and guidance.
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.
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.
Investment consulting services to institutional clients
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
04/03/2024 - Present
Wells Fargo Clearing Services, LLC (SAN LUIS OBISPO CA)
CA
03/02/2016 - 04/03/2024
J.P. MORGAN SECURITIES LLC (CAMARILLO CA)
CA
07/19/2011 - 01/28/2016
EDWARD JONES (LOS ANGELES CA)
CA
05/29/2007 - 07/19/2011
CITIGROUP GLOBAL MARKETS INC. (WESTLAKE VILLAGE CA)
CA
05/18/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (WESTLAKE VILLAGE CA)
NY
06/25/1998 - 08/29/2003
AXA ADVISORS, LLC (NEW YORK NY)
NY
06/25/1998 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BOTH
Issued 08/25/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/01/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/12/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2011
Series 7 - General Securities Representative Examination
BC
Issued 05/17/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Yung Yi is the right advisor for you? Invested Better is here to help.
