KY
Kenneth Yuen
STONEX ADVISORS
City of Industry, CA 91748
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CRD#: 2988857
KY
Professional summary
Kenneth Yuen, CFP®, ChFC® is a registered financial advisor currently at STONEX ADVISORS INC. located in City Of Industry, California and STONEX SECURITIES INC. located in City Of Industry, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kenneth has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 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.
1)INSURANCE SALES - NON INVESTMENT RELATED. 2766 S PLEASANT AVE, ONTARIO, CA 91761. NATURE OF BUSINESS: SELLING HEALTH AND LIFE INSURANCE. 100% OWNER, AGENT. STARTED 8/2002. 12 HRS/MONTH, 0 HRS/MONTH DURING TRADING OURS. DUTIES: AGENT. 2) RENTAL PROPERTIES - INVESTMENT RELATED. 2766 S PLEASANT AVE, ONTARIO, CA 91761. NATURE OF BUSINESS: RENTAL PROPERTIES. 50% OWNER. OWNER. STARTED 4/01/2012. 12 HRS/MONTH, 0 HRS/MONTH DURING TRADING HOURS. DUTIES: OWNER. 3) SHINE VISTA LLC. INVESTMENT RELATED. 385 S. LEMON AVE #E263 WALNUT, CA 91789. NATURE OF BUSINESS: BUY, SELL, AND MANAGE RENTAL PROPERTIES. 50% OWNER, POSITION: OWNER. STARTED 5/10/2013. 20 HRS/MONTH, 0 HRS/MONTH DURING TRADING HOURS. DUTIES: OWNER. 4) INSURANCE AGENT SUPPORT - INVESTMENT RELATED. 650 W DUARTE RD, ARCADIA, CA 91007. NATURE OF BUSINESS: PROVIDE TRAINING AND SUPPORT TO LICENSED INSURANCE. 0% OWNER, POSITION: AGENT SUPPORT. STARTED: 1/1/2017. 160 HRS/MONTH AND 120 HRS/MONTH DURING TRADING HOURS. DUTIES: PROVIDE TRAINING AND SUPPORT TO LICENSED INSURANCE AGENTS. 5) TURTLE LAND CAPITAL LLC 2766 S PLEASANT AVE, ONTARIO, CA 91761 NATURE OF BUSINESS: OWNING PROPERTIES AND PROPERTY MANAGEMENT INVESTMENT RELATED: NO BUSINESS POSITION, TITLE OR ASSOCIATION: OWNER BUSINESS DUTIES: OWNER AND PROPERTY MANAGEMENT BUSINESS START DATE: 10/12/2020 APPROXIMATELY 10 HOURS SPENT ON THIS OBA MONTHLY WITH ZERO DURING MARKET HOURS. 6) Auchel World Inc. 18631 Gale Ave, City of Industry, CA 91748 Nature of Business: Property, Casualty and Health Insurance Agency Investment Related: No Business Position: HR Manager / Employee Business Duties: Oversee the HR department Employee Benefits Evaluation of Employees Hiring Business Start Date: 09/01/2021 Approximately 120 hours spent on this OBA monthly with 4 spent on this OBA during market hours monthly. 7) TGI Wealth Management - 17700 Castleton St., #418 City of Industry, CA 91748 Nature of Business: approved DBA, doing my security businesses through this DBA Investment Related: Yes Business Position: Owner Business Duties: security broker and advisor Business Start Date: 01/21/2025 Approximately 160 hours spent on this OBA monthly with 160 spent on this OBA during market hours monthly.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Yuen'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®
Experience
Current
December 9, 2019 - Present
STONEX ADVISORS INC.
Office #1: 17700 Castleton St Suite 418, City Of Industry, CA 91748RIA
CRD#: 174182
City of Industry, CA
Current
December 6, 2019 - Present
STONEX SECURITIES INC.
Office #1: 17700 Castleton St Suite 418, City Of Industry, CA 91748BD
CRD#: 18456
City of Industry, CA
Past
May 18, 2007 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
ONTARIO, CA
Past
January 3, 2006 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAS VEGAS, NV
Past
November 16, 2004 - November 30, 2005
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
CITY OF INDUSTRY, CA
Past
November 16, 2004 - November 30, 2005
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
April 16, 2002 - October 15, 2004
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CITY OF INDUSTRY, CA
Past
March 8, 2002 - October 15, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
April 10, 2001 - March 22, 2002
HANMI SECURITIES, INC.
BD
CRD#: 25518
LOS ANGELES, CA
Past
February 5, 2001 - March 23, 2001
WHITE PACIFIC SECURITIES, INC.
BD
CRD#: 42505
SAN FRANCISCO, CA
Past
March 22, 2000 - January 18, 2001
STOCK USA, INC.
BD
CRD#: 40687
EL CAJON, CA
Past
June 29, 1998 - April 10, 2000
U. S. PACIFIC FINANCIAL SERVICES, INC.
BD
CRD#: 17423
ALHAMBRA, CA
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".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/12/2019)
RR
California(12/9/2019)
IAR
California(12/9/2019)
RR
Florida(8/1/2023)
RR
Indiana(1/5/2022)
RR
Massachusetts(3/26/2024)
RR
Missouri(1/3/2022)
RR
Nebraska(1/4/2022)
RR
Nevada(9/18/2024)
RR
New Jersey(1/3/2022)
RR
New York(12/23/2019)
RR
Texas(12/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/15/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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.
