AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
EY

Edward Yuen

SOLEBURY CAPITAL LLC
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 4222649
EY

Professional summary

Edward Yuen is a registered financial professional currently at SOLEBURY CAPITAL LLC located in Stamford, Connecticut.

Edward is registered as a RR (Registered Representative) and started their career in finance in 2000. Edward has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87 and Series 7 exams.

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) - BD

Click below to view Edward 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®
None

Experience

Current

March 18, 2015 - Present

SOLEBURY CAPITAL LLC

Office #1: 1010 Washington Blvd 10th Floor, Stamford, CT 06901
BD
CRD#: 143299
Stamford, CT
Past

August 12, 2011 - May 8, 2013

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
NEW YORK, NY
Past

December 16, 2009 - August 1, 2011

TRUIST SECURITIES, INC.

BD
CRD#: 6271
NEW YORK, NY
Past

March 30, 2004 - June 26, 2009

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
NEW YORK, NY
Past

April 23, 2003 - March 22, 2004

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY
Past

October 10, 2000 - November 13, 2002

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(3/14/2019)
RR
Connecticut
(3/18/2015)
RR
Maryland
(3/14/2019)
RR
Massachusetts
(3/14/2019)
RR
New Jersey
(3/14/2019)
RR
New York
(3/14/2019)
RR
Ohio
(3/14/2019)
RR
Pennsylvania
(3/18/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/2000
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 79
Date: 11/17/2011
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 86
Date: 1/22/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 11/22/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/9/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SOLEBURY CAPITAL LLC
SOLEBURY CAPITAL LLC

CRD#: 143299 / SEC#: , 8-67548

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
400 South River Road, Suite 300, New Hope, PA 18938
Mailing Address
400 South River Road, Suite 300, New Hope, PA 18938
Phone number
(215) 862-7234
Established
Pennsylvania since 05/16/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PNC BANK, NATIONAL ASSOCIATIONPARENT
COHN, VICTOR ALLANCHAIRMAN, CHIEF OPERATING OFFICER808136
EARLING, DAVID CRISTOFORIMANAGING DIRECTOR2534818
HATFIELD, EDWARD RIDGWAYCHIEF EXECUTIVE OFFICER1781580
IM, YOULREECHIEF ADMINISTRATIVE OFFICER5195473
JACOBY, MATTHEW RCHIEF COMPLIANCE OFFICER5720650
LONG, GEORGE PHILLIP MR.CHIEF LEGAL OFFICER5094038
ROHALY, JEFFREY PFINANCIAL OPERATIONS PRINCIPAL, PFO, POO4588188
WILLIAMS, JULIEVICE PRESIDENT6040587

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

SOLEBURY CAPITAL LLC

CRD#: 143299Stamford, CT 06901

TRUST BUT VERIFY

Monitor Edward Yuen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Randy Brickman
Randy BrickmanAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
NORTH WOODMERE, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.