Joan Tsuei, financial advisor Los Angeles CA

Joan Tsuei

CRD 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.

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Company Name Location Dates Years
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
Contact Info for Joan Tsuei
Phone Number: 800-637-7455
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,283,838
    MILLIONS
  • Total Number of Accounts
    2,825,602
    ACCOUNTS
  • Average Account Value
    $454,359
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
  • Other
Types of Clients
Registered States

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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