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JEFFREY YAU
Jeff Cheng, JEFFREY C YAU, JEFFREY CHENG YAU, Jeff Yau, Jeffrey Yau
CRD#: 6848227
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 815 EAST BIRCH STREET
BREA, CA 92821-5765
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 815 EAST BIRCH STREET
BREA, CA 92821
Registration History
20172018201920202021202220232024202520262 FIRMS2022 - 2022 (<1 year)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2019 - 2021 (2 years)BTD AMERITRADE CLEARING, INC. (CRD# 5633)2018 - 2019 (<1 year)BTD AMERITRADE, INC. (CRD# 7870)2017 - 2019 (1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2020 - 2021 (1 year)
License(s)

State Registrations

B
Alabama 6/14/2023

B
Minnesota 6/14/2023

B
Alaska 6/14/2023

B
Missouri 6/14/2023

B
Arizona 6/14/2023

B
Nevada 6/14/2023

B
California 6/14/2023

B
New Jersey 1/6/2024

IA
California 8/16/2023

B
New York 6/14/2023

B
Colorado 6/14/2023

B
North Dakota 6/14/2023

B
Florida 6/14/2023

B
Ohio 6/15/2023

B
Georgia 1/6/2024

B
Oregon 6/14/2023

B
Hawaii 6/14/2023

B
South Carolina 6/14/2023

B
Idaho 6/14/2023

B
Tennessee 6/14/2023

B
Illinois 6/14/2023

B
Texas 6/14/2023

B
Iowa 1/4/2025

IA
Texas 8/17/2023

B
Kansas 1/4/2025

B
Utah 6/14/2023

B
Kentucky 6/14/2023

B
Virginia 6/14/2023

B
Louisiana 6/14/2023

B
Washington 6/14/2023

B
Maryland 6/14/2023

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
815 EAST BIRCH STREET, BREA, CA 92821-5765
Registered with this firm since 8/16/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
815 EAST BIRCH STREET, BREA, CA 92821
ANAHEIM, CA
Registered with this firm since 6/14/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/26/2022 - 05/09/2023 MORGAN STANLEY (CRD#:149777) Laguna Niguel, CA
B
10/26/2022 - 05/09/2023 MORGAN STANLEY (CRD#:149777) Laguna Niguel, CA
IA
02/01/2022 - 10/17/2022 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) IRVINE, CA
B
01/31/2022 - 10/17/2022 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) IRVINE, CA
IA
10/14/2020 - 12/20/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Upland, CA
B
05/16/2019 - 12/20/2021 CHARLES SCHWAB & CO., INC. (CRD#:5393) Upland, CA
B
08/21/2018 - 05/03/2019 TD AMERITRADE CLEARING, INC. (CRD#:5633) OMAHA, NE
B
11/13/2017 - 05/03/2019 TD AMERITRADE, INC. (CRD#:7870) OMAHA, NE
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B
Broker
IA
Investment Adviser
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.