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Detailed Report
ALBERT SHIHNAI YUAN
SHINNAI SHINNAI YUAN
CRD#: 1180058
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 225 S. LAKE AVE
STE 700
PASADENA, CA 91101
Registration History
1985199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1988 - 2003 (15 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1984 - 1988 (3 years)BR.L. SMITH & ASSOCIATES, INC. (CRD# 10262)1983 - 1984 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1997 - 2003 (6 years)
Disclosure(s)
View By:
9/20/2007
Customer Dispute
Denied
3/21/1994
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
California 7/1/2003
B
Nevada 11/19/2024
IA
California 7/1/2003
B
New York 7/1/2003
B
Florida 7/1/2003
B
North Carolina 1/21/2015
B
Illinois 12/19/2024
B
Pennsylvania 2/23/2024
B
Indiana 2/3/2017
B
Virginia 7/1/2019
B
Maryland 5/20/2021

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
WALNUT, CA
Registered with this firm since 7/1/2003
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
225 S. LAKE AVE STE 700, PASADENA, CA 91101
WALNUT, CA
Registered with this firm since 7/1/2003
Previous Registration(s)
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IA
 07/08/1997 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) PASADENA, CA
B
 01/26/1988 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/21/1984 - 02/04/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 10/19/1983 - 09/11/1984 R.L. SMITH & ASSOCIATES, INC. (CRD#:10262)
FINRA expelled the firm on 10/13/1994
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.