Bonnie Yam

PENSION MAXIMA INVESTMENT ADVISORY

ARCADIA, CA 91007

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CRD#: 4465731

Professional summary

Bonnie Yam, AIF®, CFP®, ChFC®, CLU®, who also goes by Bonnie Yam, is a registered financial advisor currently at PENSION MAXIMA INVESTMENT ADVISORY, INC. located in Arcadia, California.

Bonnie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Bonnie has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bonnie Yam

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.

PROVIDES LICENSING FINANCIAL WELLNESS EDUCATION TO OUTSIDE BENEFIT PROVIDERS; INVESTMENT RELATED; SPENDS 20 HOURS PER MONTH ON THIS ACTIVITY TEACHES WITH "SUNY", WESTCHESTER ON FINANCIAL WELLNESS EDUCATION AND PRE-LICENSING INSURANCE CLASSES; NON-INVESTMENT RELATED; SPENDS APPROX. 20 HOURS PER WEEK ON THIS ACTIVITY. PERSONAL FINANCIAL CONSULTANT WITH MAGELLAN FEDERAL; INVESTMENT RELATED; SPENDS APPROX 20 HOURS PER MONTH ON THIS ACTIVITY. PROVIDES CHARITABLE DONATION EVALUATIONS FOR YEAR END GIFTING PURPOSES. WWW.BIZVALUADVISOR.COM; INVESTMENT RELATED; OPERATES WEBSITE; CURRENTLY SPENDS 20 HRS OF HER TIME; BUSINESS VALUE SCANS AND EDUCATION. PROVIDES EVALUATIONS FOR DONOR ADVISED FUNDS, SHAREHOLDERS' DISPUTES, COMPANY SALE, SUCCESSION PLANNING AND SPLITTING OF DIVISIONS. INVESTMENT RELATED; SPENDS 20 HOURS PER MONTH ON THIS ACTIVITY. MI LINDO GATO INVESTMENT RELATED TAX PLANNING FIRM IN BELLMORE, NY. SHE IS THE OWNER AND SPENDS 60 HRS/MONTH DURING TRADING HOURS. MANAGES CLIENT INQUIRIES AND ASSIGNS TAX PREPARATION SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bonnie Yam'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2013

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

September 26, 2007 - Present

PENSION MAXIMA INVESTMENT ADVISORY, INC.

Office #1: 1108 South Baldwin Avenue Suite 210, Arcadia, CA 91007

RIA

CRD#: 144858

ARCADIA, CA

Past

June 6, 2002 - October 26, 2007

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

EL MONTE, CA

Past

February 11, 2002 - June 10, 2002

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MONTEREY PARK, CA

Past

December 11, 2001 - June 10, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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
(9/26/2007)

IAR

New York
(8/9/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/17/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/10/2001

General Securities Representative Examination

Current Firm

PENSION MAXIMA INVESTMENT ADVISORY, INC.

CRD#: 144858 / SEC#: 801-68370

RIA

Registered Investment Advisory firm - (6/7/2012 Terminated)

California

Registered Investment Advisory firm - (5/18/2012 Approved)

New York

Registered Investment Advisory firm - (6/6/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

White Plains, NY

Mailing Address

Phone number

(914) 574-5023

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 32,112,326

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.

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Bonnie Yam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bonnie Yam's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSION MAXIMA INVESTMENT ADVISORY, INC.

QUEST CAPITAL STRATEGIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2001

Series 7

Date: 12/10/2001

Current Firm

PENSION MAXIMA INVESTMENT ADVISORY, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENSION MAXIMA INVESTMENT ADVISORY, INC.

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