Individual Firm
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Yu-Sun Chan
DJ CHAN, YU CHAN, YU S CHAN, YU S. CHAN, YU-SUN CHAN…
CRD#: 5626620
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1331 N CALIFORNIA BLVD
WALNUT CREEK, CA 94596
WALNUT CREEK, CA 94596
0
Disclosures
15
Years of Experience
View By:
State Registrations
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Arizona 3/16/2021
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Minnesota 3/12/2025
B
California 3/12/2021
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Nevada 3/16/2021
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California 3/12/2021
B
New Jersey 9/15/2023
B
Colorado 6/21/2024
B
New Mexico 4/4/2024
B
District of Columbia 6/21/2024
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North Carolina 1/18/2024
B
Florida 3/16/2021
B
Oregon 3/16/2021
B
Georgia 8/14/2024
B
Tennessee 3/7/2025
B
Hawaii 10/6/2023
B
Texas 3/16/2021
B
Illinois 1/9/2024
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Texas 3/16/2021
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Indiana 6/26/2024
B
Utah 10/6/2023
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Kentucky 8/19/2024
B
Washington 3/16/2021
B
Massachusetts 3/7/2025
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Wisconsin 8/26/2024
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Michigan 6/21/2024
SRO Registrations
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Registered with this firm since 3/12/2021
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Registered with this firm since 3/12/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2018 - 11/13/2020 | OAKLAND, CA | |
B | 01/02/2018 - 11/13/2020 | OAKLAND, CA | |
IA | 02/20/2012 - 12/26/2017 | PALO ALTO, CA | |
B | 12/12/2011 - 12/11/2017 | PALO ALTO, CA | |
B | 01/21/2009 - 11/14/2011 | FORT LEE, NJ |
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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.
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.