Steve C. Yuen
Professional summary
Steve Chosui Yuen, CFP®, who also goes by Steve Cho-sui Yuen, is a registered financial professional currently at J.K. FINANCIAL SERVICES, INC. located in Norco, California.
Steve is registered as a RR (Registered Representative) and started their career in finance in 1998. Steve has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steve Chosui Yuen's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2002
Experience
January 8, 2007 - Present
J.K. FINANCIAL SERVICES, INC.
Office #1: 149 Cross Rail Lane Ste. 102, Norco, CA 92860November 19, 2008 - March 7, 2014
PENSION MAXIMA INVESTMENT ADVISORY, INC.
December 9, 2005 - December 31, 2006
WOODBURY FINANCIAL SERVICES, INC.
December 9, 2005 - December 31, 2006
WOODBURY FINANCIAL SERVICES, INC.
April 14, 2004 - December 31, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - December 13, 2005
WORLD GROUP SECURITIES, INC.
September 25, 1998 - April 12, 2002
WMA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2007)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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