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STEPHEN YUN-SUM YU
Yun-Sum Stephen YU, Yunsum Stephen Yu
CRD#: 4635091
IA
B
THE BALDWIN GROUP WEALTH ADVISORS, LLCCRD#: 312284 2050 MAIN STREET
SUITE 510
IRVINE, CA 92614
SUITE 510
IRVINE, CA 92614
EQUITABLE ADVISORS, LLCCRD#: 6627 2050 MAIN STREET
SUITE 510
IRVINE, CA 92614
SUITE 510
IRVINE, CA 92614
0
Disclosures
16
Years of Experience
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State Registrations
B
California 6/19/2018
IA
California 3/12/2021
SRO Registrations
B
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IA
Registered with this firm since 3/12/2021
B
Registered with this firm since 5/7/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/09/2018 - 03/12/2021 | IRVINE, CA | |
IA | 03/25/2009 - 04/07/2017 | HUNTINGTON BEACH, CA | |
IA | 03/12/2007 - 10/15/2008 | NEWPORT BEACH, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.