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Yvonne Mui

J.h. Darbie & CO., Inc.

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About Yvonne Mui

Yvonne Mui has been in the financial services industry since 2001 and has worked at several firms, including Legend Securities, Inc. and PHD Capital. Currently, Yvonne is an investment advisor representative for J.h. Darbie & Co., Inc. She has a Series 7, 63, 4, 24, 52, 53, 79 and 99TO licenses. Yvonne is registered in New York. She has a bachelor's degree in Finance from a well-regarded university.

Firm Information

Yvonne Mui is currently registered with J.h. Darbie & CO., Inc.. J.h. Darbie & CO., Inc. is a Corporation registered with the SEC and in 46 states. Founded in June 1997, the firm offers advisory services including portfolio management for individuals and selection of other advisors. They also participate in wrap fee programs. They have approximately 9 employees, including licensed agents, investment advisor representatives, and registered representatives. The firm's website is HTTP://WWW.JHDARBIE.COM.

Not reported

Assets Under Management

Not reported

Total Clients

28

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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subadvisory and solicitations

Subadvisory and solicitations

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Subadvisory and solicitations

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Yvonne Mui’s Registration & Firm History

NY

01/03/2017 - Present

J.h. Darbie & CO., Inc. (NEW YORK NY)

NY

02/06/2013 - 12/07/2016

LEGEND SECURITIES, INC. (NEW YORK NY)

NY

07/30/2003 - 10/11/2012

PHD CAPITAL (NEW YORK NY)

NY

06/30/2003 - 07/25/2003

BAY CREST PARTNERS, LLC (NEW YORK NY)

NY

07/30/2001 - 06/24/2003

PHD CAPITAL (NEW YORK NY)

NY

03/29/2001 - 07/26/2001

GENEVA CAPITAL CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/28/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/13/2004

Series 4 - Registered Options Principal Examination

BC

Issued 03/07/2003

Series 53 - Municipal Securities Principal Examination

BC

Issued 06/01/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/28/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Yvonne Mui.
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