Stephen YooCRD Number: 4469780
Current Firm: Waddell & Reed
Stephen Yoo (CRD# 4469780) is an Investment Advisor Representative working at Waddell & Reed in San Diego, CA and has over 16 years of experience in the finance industry.
Park Avenue Securities LLC
Nautilus Advisors LLC
Heyman Investment Counseling LLC
|Various Insurance Carriers For W&r Insurance Agencies||San Diego, CA||Oct 2016 - Current||1|
|Waddell & Reed, Inc.||San Diego, CA||Oct 2016 - Current||1|
|Southwest Securities Inc / Hilltop Securities Inc.||San Diego, CA||Nov 2011 - Oct 2016||4|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||San Diego, CA||Oct 2009 - Nov 2011||2|
|Banc Of America Insurance Services, Inc.||San Diego, CA||Jun 2008 - Oct 2009||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||San Diego, CA||Sep 2002 - Jun 2008||5|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Feb 2002|
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:
- Financial Issue
Total Assets Under Management19,057MILLIONS
Total Number of Accounts153,035ACCOUNTS
Average Account Value$124,526
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- 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)
- Educational seminars/workshops
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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