Joan TsueiCRD Number: 6903040
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Joan Tsuei (CRD# 6903040) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Los Angeles, CA and has over 3 years of experience in the finance industry.
Awm Capital, LLC
Aqua Capital Advisors
Bluepoint Wealth Advisors
|Bank Of America, N.a.||Century City, CA||May 2019 - Current||3|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Century City, CA||Sep 2016 - Current||6|
|Bank Of America||Los Angeles, CA||Sep 2016 - Mar 2019||2|
|University Of California, Los Angeles (ucla)||Los Angeles, CA||Sep 2014 - Dec 2018||4|
|Ucla (student) / Time-off For Health-related Reasons||Los Angeles, CA||Oct 2015 - Sep 2016||< 1|
|Apex Autonet||Alhambra, CA||Jul 2014 - Sep 2014||< 1|
|Mt. San Antonio College||Walnut, CA||Aug 2008 - Aug 2014||6|
|Matrix Funding Group||Rowland Heights, CA||Feb 2013 - Jun 2014||1|
|Alliance Financial Group||Irwindale, CA||Feb 2011 - Feb 2013||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2019|
Total Assets Under Management1,283,838MILLIONS
Total Number of Accounts2,825,602ACCOUNTS
Average Account Value$454,359
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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