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Detailed Report
PETER YIU
CRD#: 2934297
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Investment Adviser
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Previous Broker
TRANQUIL ASSET MANAGEMENT LLCCRD#: 332804 FOSTER CITY, CA
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2004 (<1 year)2 FIRMS2004 - 2006 (1 year)IATRANQUIL ASSET MANAGEMENT LLC (CRD# 332804)2024 - Present (<1 year)IATRANQUIL ASSET MANAGEMENT LLC (CRD# 322619)2022 - Present (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2011 - 2022 (11 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2007 - 2009 (1 year)BSVB SECURITIES, A NON-BANK AFF... (CRD# 46902)2002 - 2003 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - 2001 (1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1998 - 1999 (1 year)BOLDE DISCOUNT CORPORATION (CRD# 5979)1998 - 1998 (<1 year)BOLDE DISCOUNT CORPORATION (CRD# 5979)1997 - 1997 (<1 year)
License(s)

State Registrations

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California 11/28/2022
Current Registration(s)
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TRANQUIL ASSET MANAGEMENT LLC (CRD#:332804)
FOSTER CITY, CA
Registered with this firm since 9/13/2024
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TRANQUIL ASSET MANAGEMENT LLC (CRD#:322619)
FOSTER CITY, CA
Registered with this firm since 11/28/2022
Previous Registration(s)
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 01/28/2011 - 11/17/2022 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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 08/07/2007 - 05/22/2009 WORLD GROUP SECURITIES, INC. (CRD#:114473) ALVISO, CA
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 09/29/2004 - 08/10/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
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 09/29/2004 - 08/10/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) PALO ALTO, CA
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 02/27/2004 - 09/30/2004 STRATEGIC ADVISERS, INC. (CRD#:104555) BURLINGAME, CA
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 02/27/2004 - 09/30/2004 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
B
 03/01/2002 - 02/06/2003 SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK (CRD#:46902) SAN FRANCISCO, CA
B
 03/24/2000 - 12/03/2001 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
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 05/13/1998 - 07/12/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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 03/16/1998 - 05/15/1998 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
B
 08/26/1997 - 10/10/1997 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.