Seung Yi, financial advisor Los Angeles CA
93 score

Seung Yi

CRD Number: 5596775
Current Firm: Axa Advisors, LLC

Seung Yi (CRD# 5596775) is an Investment Advisor Representative working at Axa Advisors, LLC in Los Angeles, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Axa Advisors, LLC New York, NY Mar 2011 - Current 5
Unemployed Los Angeles, CA May 2010 - Mar 2011 < 1
Opentrunk, LLC Los Angeles, CA Jan 2009 - Apr 2010 1
Chimera Securities, LLC Los Angeles, CA Mar 2008 - Apr 2009 1
Unemployed Los Angeles, CA May 2007 - Mar 2008 < 1
Wealth & Tax Advisory Services Los Angeles, CA Jul 2006 - May 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2011
Contact Info for Seung M. Yi
Phone Number: 212-314-4600
Firm Website: http://axa.us.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    9,867
    MILLIONS
  • Total Number of Accounts
    40,093
    ACCOUNTS
  • Average Account Value
    $246,096
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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