Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yvan? Claim Your ProfileYvan Fung is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. Yvan has been in the financial industry since 2015 and has experience working at CITIGROUP GLOBAL MARKETS INC. and J.P. MORGAN SECURITIES LLC. Yvan has Series 6, 7, 63 and 65 licenses and is registered in California, Massachusetts, Minnesota, and Washington. Yvan's firm offers a variety of advisory services, including portfolio management for individuals and businesses, pension consulting, and educational seminars.
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
12/16/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OAKLAND CA)
CA
10/11/2019 - 12/21/2022
CITIGROUP GLOBAL MARKETS INC. (San Francisco CA)
CA
06/22/2015 - 09/25/2019
J.P. MORGAN SECURITIES LLC (OAKLAND CA)
IA
Issued 01/29/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/11/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/25/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2015
Series 6 - Investment Company Products/Variable Contracts 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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