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Detailed Report
Yunfen Yi
ANNA Y YEUNG, ANNA YEUNG, YUNFEN Y YEUNG, YUNFEN YI YEUNG, Yunfen Yeung…
CRD#: 6535799
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2019 - 2022 (2 years)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BU.S. BANCORP INVESTMENTS, INC. (CRD# 17868)2016 - 2019 (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2016 (1 year)
License(s)

State Registrations

B
California 10/9/2023
B
Nevada 12/14/2023
IA
California 10/9/2023
B
New York 10/9/2023
B
Colorado 12/14/2023
B
North Carolina 12/14/2023
B
Delaware 12/14/2023
B
Oregon 12/14/2023
B
Florida 12/14/2023
B
Tennessee 6/21/2024
B
Hawaii 12/14/2023
B
Texas 12/14/2023
B
Illinois 12/14/2023
IA
Texas 12/15/2023
B
Massachusetts 12/14/2023
B
Virginia 12/14/2023
B
Michigan 12/14/2023
B
Washington 12/14/2023
B
Nebraska 12/14/2023
B
Wyoming 12/14/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/9/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 10/9/2023
Previous Registration(s)
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IA
 07/28/2022 - 10/10/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) YORBA LINDA, CA
B
 07/28/2022 - 10/10/2023 J.P. MORGAN SECURITIES LLC (CRD#:79) YORBA LINDA, CA
IA
 09/24/2019 - 06/13/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 08/01/2019 - 06/13/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 10/18/2016 - 02/07/2019 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) DOWNEY, CA
B
 10/22/2015 - 10/18/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) TORRANCE, CA
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.