Frank K. Yi

TWIN LAKES CAPITAL

Honolulu, HI 96813

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CRD#: 2169256

Professional summary

Frank Kwangjae Yi is a registered financial advisor currently at TWIN LAKES CAPITAL located in Honolulu, Hawaii.

Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Frank has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Kwangjae Yi's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 18, 2018 - Present

TWIN LAKES CAPITAL

Office #1: 55 Merchant St. Suite 1930, Honolulu, HI 96813

RIA

CRD#: 137522

Honolulu, HI

Past

April 28, 2016 - December 31, 2017

TLA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 142135

HONOLULU, HI

Past

February 14, 2003 - April 28, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

HONOLULU, HI

Past

December 18, 2002 - April 28, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HONOLULU, HI

Past

December 23, 1999 - December 2, 2002

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 16, 1995 - March 1, 1999

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

November 10, 1992 - March 20, 1993

REYNOLDS KENDRICK STRATTON, INC.

CRD#: 10414

Past

November 15, 1991 - August 11, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TWIN LAKES CAPITAL

TWIN LAKES CAPITAL | TWIN LAKES CAPITAL MANAGEMENT, LLC

CRD#: 137522 / SEC#: 801-113264

RIA

Registered Investment Advisory firm - (5/18/2018 Approved)

California

Registered Investment Advisory firm - (7/8/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Hawaii
(5/18/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/17/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/13/1991

General Securities Representative Examination

Current Firm

TWIN LAKES CAPITAL

TWIN LAKES CAPITAL | TWIN LAKES CAPITAL MANAGEMENT, LLC

CRD#: 137522 / SEC#: 801-113264

RIA

Registered Investment Advisory firm - (5/18/2018 Approved)

California

Registered Investment Advisory firm - (7/8/2018 Terminated)

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Contact information

Main Address

3 Lagoon Drive Suite 150, Redwood Shores, CA 94065

Mailing Address

Phone number

(650) 610-9363

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR ALL CLIENTS (3/28/2025)

Regulatory assets under management

Total Number of Accounts	429
AUM (Assets Under Management)	$ 246,049,277

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Frank K. Yi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Kwangjae Yi's CRS (Customer Relationship Summary).

Certified licenses

Experience

TLA CAPITAL MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CETERA WEALTH SERVICES, LLC

D.E. FREY & COMPANY, INC.

REYNOLDS KENDRICK STRATTON, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

TWIN LAKES CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2014

Series 63

Date: 11/25/1991

Series 7

Date: 11/13/1991

Current Firm

TWIN LAKES CAPITAL

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TWIN LAKES CAPITAL

TRUST BUT VERIFY

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