YF
Yun Ze Feng
SANTANDER SECURITIES LLC
Florham Park, NJ 07932
Some features on this profile are disabled
CRD#: 4398379
YF
Professional summary
Yun Ze Feng, CFP®, who also goes by Edwin Feng, Yun Ze Feng, Yun Feng, is a registered financial advisor currently at SANTANDER SECURITIES LLC located in Florham Park, New Jersey.
Yun Ze is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Yun Ze has worked at 11 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Edwin Feng | Yun Ze Feng | Yun Feng
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. Finwise Tech, LLC, Chief Operating Officer and co-owner, entity established to use technology for a digital platform to streamline referrals, non-investment related, start date 04/08/2025, Lebanon NJ, 60 hours monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Yun Ze Feng's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yun Ze Feng'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
January 20, 2022 - Present
SANTANDER SECURITIES LLC
Office #1: 200 Park Avenue Suite 100, Florham Park, NJ 07932RIA
BD
CRD#: 41791
Florham Park, NJ
Current
January 20, 2022 - Present
SANTANDER SECURITIES LLC
Office #1: 200 Park Avenue Suite 100, Florham Park, NJ 07932RIA
BD
CRD#: 41791
Florham Park, NJ
Past
February 17, 2021 - January 21, 2022
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
BROOKLYN, OH
Past
February 17, 2021 - January 21, 2022
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
BROOKLYN, OH
Past
September 29, 2016 - February 24, 2021
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
WALNUT CREEK, CA
Past
September 29, 2016 - February 24, 2021
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
WALNUT CREEK, CA
Past
October 15, 2015 - September 6, 2016
TD AMERITRADE, INC.
RIA
CRD#: 7870
CUPERTINO, CA
Past
October 15, 2015 - September 6, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Cupertino, CA
Past
October 15, 2015 - September 6, 2016
TD AMERITRADE, INC.
BD
CRD#: 7870
CUPERTINO, CA
Past
August 16, 2012 - October 26, 2015
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
San Ramon, CA
Past
January 3, 2011 - May 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TUKWILA, WA
Past
January 3, 2011 - May 31, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TUKWILA, WA
Past
December 9, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
BELLEVUE, WA
Past
December 9, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
FREMONT, CA
Past
September 27, 2004 - June 17, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
September 30, 2003 - December 9, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 2, 2002 - June 2, 2003
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
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".
SS
SANTANDER SECURITIES LLC
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES
CRD#: 41791 / SEC#: 801-56796, 8-49571
RIA
Registered Investment Advisory firm - SEC (9/2/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Alabama(1/20/2022)
RR
Alaska(1/20/2022)
RR
Arizona(1/20/2022)
RR
Arkansas(1/20/2022)
RR
California(1/20/2022)
RR
Colorado(1/20/2022)
RR
Connecticut(1/20/2022)
RR
Delaware(1/20/2022)
RR
District of Columbia(1/20/2022)
RR
Florida(1/20/2022)
IAR
Florida(1/21/2022)
RR
Georgia(1/20/2022)
RR
Hawaii(1/20/2022)
RR
Idaho(1/20/2022)
RR
Illinois(1/20/2022)
RR
Indiana(1/20/2022)
RR
Iowa(1/20/2022)
RR
Kansas(1/20/2022)
RR
Kentucky(1/20/2022)
RR
Louisiana(1/20/2022)
RR
Maine(1/20/2022)
RR
Maryland(1/20/2022)
RR
Massachusetts(1/20/2022)
RR
Michigan(1/20/2022)
RR
Minnesota(1/20/2022)
RR
Mississippi(1/20/2022)
RR
Missouri(1/20/2022)
RR
Montana(1/20/2022)
RR
Nebraska(1/20/2022)
RR
New Hampshire(1/20/2022)
RR
New Jersey(1/20/2022)
IAR
New Jersey(5/3/2024)
RR
New Mexico(1/20/2022)
RR
New York(1/20/2022)
RR
North Carolina(1/20/2022)
RR
North Dakota(1/20/2022)
RR
Ohio(1/21/2022)
RR
Oklahoma(1/20/2022)
RR
Oregon(1/20/2022)
RR
Pennsylvania(1/20/2022)
RR
Puerto Rico(1/20/2022)
RR
Rhode Island(1/20/2022)
RR
South Carolina(1/20/2022)
RR
South Dakota(1/20/2022)
RR
Tennessee(1/20/2022)
RR
Texas(1/20/2022)
RR
Utah(1/20/2022)
RR
Vermont(1/20/2022)
RR
Virgin Islands(1/20/2022)
RR
Virginia(1/20/2022)
RR
Washington(1/20/2022)
RR
West Virginia(1/20/2022)
RR
Wisconsin(1/20/2022)
RR
Wyoming(1/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SANTANDER SECURITIES LLC
SANTANDER INVESTMENT SERVICES | SANTANDER SECURITIES LLC | SANTANDER SECURITIES CORPORATION OF PUERTO RICO | SANTANDER SECURITIES CORPORATION | SANTANDER SECURITIES
CRD#: 41791 / SEC#: 801-56796, 8-49571
RIA
Registered Investment Advisory firm - SEC (9/2/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109
Mailing Address
75 State Street Mail Code: Ma-sst-inv3, Boston, MA 02109
Phone number
(866) 736-6475
Established
Delaware since 01/03/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
440
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
