Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
STEVEN YI
STEVE HUN YI ^, STEVE HUN YI, STEVE YI, STEVEN HUN YI, SUK HUN YI ^…
CRD#: 3268937
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200020022004200620082010201220142 FIRMS2009 - 2012 (3 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2007 - 2009 (1 year)IAFIRST AMERICAN TRUST (CRD# 108923)2004 - 2007 (2 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2000 - 2004 (4 years)
Disclosure(s)
View By:
9/23/2013
Regulatory
Final
Previous Registration(s)
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 04/16/2009 - 12/13/2012 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) LA JOLLA, CA
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 04/16/2009 - 12/13/2012 TD AMERITRADE, INC. (CRD#:7870) SAN DIEGO, CA
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 12/12/2007 - 04/07/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN DIEGO, CA
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 09/15/2004 - 06/25/2007 FIRST AMERICAN TRUST (CRD#:108923) SANTA ANA, CA
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 05/31/2000 - 08/25/2004 CHARLES SCHWAB & CO., INC. (CRD#:5393) CA
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.