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Detailed Report
YEOSHEN TSUI
CRD#: 4824629
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 16000 SHADY GROVE RD
GAITHERSBURG, MD 20877
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 16000 SHADY GROVE RD
GAITHERSBURG, MD 20877
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - Present (8 years)BMORGAN STANLEY DW INC. (CRD# 7556)2004 - 2004 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2016 - 2016 (<1 year)
Disclosure(s)
View By:
4/11/2023
Customer Dispute
Settled
License(s)

State Registrations

B
California 2/15/2018
B
North Carolina 4/5/2024
B
Colorado 1/6/2023
B
Pennsylvania 5/5/2022
B
District of Columbia 4/25/2016
B
South Carolina 10/14/2019
B
Florida 4/25/2016
B
Tennessee 1/23/2023
B
Georgia 11/7/2022
B
Virginia 4/25/2016
B
Maryland 4/25/2016
B
Washington 9/25/2017
IA
Maryland 9/13/2016
B
West Virginia 3/20/2019
B
New York 4/25/2016

SRO Registrations

B
 FINRA

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
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
16000 SHADY GROVE RD, GAITHERSBURG, MD 20877
Registered with this firm since 9/13/2016
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
16000 SHADY GROVE RD, GAITHERSBURG, MD 20877
18200 FLOWER HILL WAY, GAITHERSBURG, MD 20879
Registered with this firm since 4/25/2016
Previous Registration(s)
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IA
 04/25/2016 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) SILVER SPRING, MD
IA
 10/23/2009 - 04/26/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GERMANTOWN, MD
B
 10/23/2009 - 04/26/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) GERMANTOWN, MD
IA
 05/06/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) WASHINGTON, DC
B
 04/24/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) WASHINGTON, DC
IA
 09/29/2006 - 12/07/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PENNINGTON, NJ
B
 09/08/2006 - 12/07/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 09/13/2004 - 11/08/2004 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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.