Scott Yi, financial advisor Monterey CA

Scott Yi

CRD Number: 4983680
Current Firm: Stifel, Nicolaus & Company, Incorporated
Compensation Model: Both
Scott Yi (CRD# 4983680) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Monterey, CA and has over 10 years of experience in the finance industry.
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Professional Designations
Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Monterey, CA Oct 2012 - Current 8
Merrill Lynch, Pierce, Fenner & Smith Incorporated Carmel, CA Jun 2005 - Oct 2012 7
Exam Code Name Passed Date
S7 General Securities Representative Examination (GS) Aug 2005
S66 NASAA Uniform Combined State Law Examination Aug 2005
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.

Get Details on the FINRA Advisor Check site
Contact Info for Scott A. Yi
Phone Number: 314-342-2000
Registered State(s):
  • CA
  • FL
  • IN
  • KY
  • NV
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    97,687
    MILLIONS
  • Total Number of Accounts
    244,516
    ACCOUNTS
  • Average Account Value
    $399,512
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • 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)
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

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, WY

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Data verified by both the advisor and the public regulatory data.

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