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MY

Mei Yuen

Some features on this profile are disabled
CRD#: 2567831
MY

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mei Yuen was a registered financial professional .

Mei is a previously registered financial professional and started their career in finance in 1999. Mei had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 30, 2019 - November 29, 2020

LYNX CAPITAL, LLC

BD
CRD#: 137178
MORAGA, CA
Past

November 17, 2014 - February 14, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WALNUT CREEK, CA
Past

November 17, 2014 - February 14, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WALNUT CREEK, CA
Past

April 16, 2002 - November 18, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

April 16, 2002 - November 18, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA
Past

January 13, 2001 - October 16, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 7, 2000 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

February 1, 2000 - April 3, 2000

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

August 12, 1999 - February 1, 2000

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/16/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/1999
General Securities Representative Examination

Current Firm

LC
LYNX CAPITAL, LLC
GP GROUP, LLC | LYNX CAPITAL, LLC | LYNX CAPITAL

CRD#: 137178 / SEC#: , 8-67068

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
55 Parson Brown Ct., Moraga, CA 94556
Mailing Address
55 Parson Brown Ct., Moraga, CA 94556
Phone number
(925) 388-0462
Established
California since 10/21/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DEUTZ, THEODORE JOHNPRESIDENT/CCO2333618
MORGAN, WILLIAM ARTHURFINOP

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.

Company Information

LYNX CAPITAL, LLC

CRD#: 137178

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