Individual Firm
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YANLIN YU
ELAINE YANLIN YU
CRD#: 6699699
IA
B
MORGAN STANLEYCRD#: 149777 Daly City, CA
0
Disclosures
8
Years of Experience
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State Registrations
B
Alaska 7/26/2022
B
Maryland 1/8/2025
B
Arizona 11/12/2021
B
Michigan 7/16/2024
B
California 11/12/2021
B
Nevada 11/12/2021
IA
California 11/12/2021
B
New Jersey 3/5/2024
B
Colorado 1/4/2022
B
Ohio 11/12/2021
B
Connecticut 9/10/2024
B
Tennessee 1/27/2025
B
Delaware 11/12/2021
B
Texas 12/14/2021
B
Florida 7/22/2022
IA
Texas 1/6/2022
B
Hawaii 4/5/2023
B
Washington 11/12/2021
B
Idaho 7/23/2024
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/20/2019 - 11/15/2021 | MILLBRAE, CA | |
B | 10/01/2016 - 11/15/2021 | MILLBRAE, 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.