Yung Yi, financial advisor Los Angeles CA
83 score

Yung Yi

CRD Number: 3073985
Current Firm: J.p. Morgan Securities LLC

Yung Yi (CRD# 3073985) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Los Angeles, CA and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Jp Morgan Securities LLC Los Angeles, CA Feb 2016 - Current < 1
Edward Jones Los Angeles, CA Jul 2011 - Jan 2016 4
Citigroup Global Markets Inc. Westlake Village, CA May 2007 - Jul 2011 4
Citicorp Investment Services Westlake Villate, CA Apr 2006 - Oct 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2006
S65 NASAA Investment Advisors Law Examination Jan 2001
S66 NASAA Uniform Combined State Law Examination Aug 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Yung M. Yi
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
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
83

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