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PY

Peter Yiu

TRANQUIL ASSET MANAGEMENT LLC
FOSTER CITY, CA
Some features on this profile are disabled
CRD#: 2934297
PY

Professional summary

Peter Yiu is a registered financial advisor currently at TRANQUIL ASSET MANAGEMENT LLC located in Foster City, California.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Peter has worked at 10 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 52, Series 10 and Series 9 exams.

top-8-questions

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 Peter Yiu's 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

September 13, 2024 - Present

TRANQUIL ASSET MANAGEMENT LLC

RIA
CRD#: 332804
FOSTER CITY, CA
Past

November 28, 2022 - June 21, 2025

TRANQUIL ASSET MANAGEMENT LLC

RIA
CRD#: 322619
FOSTER CITY, CA
Past

January 28, 2011 - November 17, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

August 7, 2007 - May 22, 2009

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
ALVISO, CA
Past

September 29, 2004 - August 10, 2006

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
PALO ALTO, CA
Past

September 29, 2004 - August 10, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
PALO ALTO, CA
Past

February 27, 2004 - September 30, 2004

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
BURLINGAME, CA
Past

February 27, 2004 - September 30, 2004

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI
Past

March 1, 2002 - February 6, 2003

SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK

BD
CRD#: 46902
SAN FRANCISCO, CA
Past

March 24, 2000 - December 3, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

May 13, 1998 - July 12, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 16, 1998 - May 15, 1998

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

August 26, 1997 - October 10, 1997

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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
California
(9/13/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/15/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/27/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/1997
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: 9/8/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 8/25/1997
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/10/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/28/2017
General Securities Sales Supervisor - Options Module Examination

Current Firm

TA
TRANQUIL ASSET MANAGEMENT LLC
TRANQUIL ASSET MANAGEMENT LLC

CRD#: 332804 / SEC#:

California
Registered Investment Advisory firm - (9/13/2024 Approved)
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Contact information

Main Address
Foster City, CA
Mailing Address
Phone number
(669) 292-7776
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts9
AUM (Assets Under Management)$ 11,800,000

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

TRANQUIL ASSET MANAGEMENT LLC

CRD#: 332804Foster City, CA

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