Walter Yun
Professional Summary
Walter Yun, who also goes by Choong H Yun, was a registered financial advisor. Walter was a previously registered financial advisor and started their career in finance 2003 - 2006. Walter had worked at 1 firm and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Choong H Yun
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
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Contact Information
Main Address
1345 Avenue Of The Americas, New York, NY 10105Mailing Address
1345 Avenue Of The Americas 3rd Floor, New York, NY 10105Phone Number
(212) 314-4600Established
Delaware since 07/19/1999Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
5,674SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | — |
| BONADONNA, MARYJEAN ELIZABETH | VICE PRESIDENT, BUSINESS GOVERNANCE AND SUPERVISORY OVERSIGHT | 3199562 |
| BOYLAN, PATRICIA AGNES | CHIEF COMPLIANCE OFFICER | 3231492 |
| CANNON, CHRISTIAN JAMES | VICE PRESIDENT AND GENERAL COUNSEL | — |
| JONES, GINA MARIE | VICE PRESIDENT AND FINANCIAL CRIME OFFICER | — |
| KARR, DAVID WHITCOMB | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 1852445 |
| KENNEDY, JOHN MICHAEL JR. | CHIEF PRIVACY OFFICER | — |
| LANE, NICHOLAS BURRITT | DIRECTOR | 4994948 |
| MASSA, FRANK ANGELO JR | PRESIDENT/DIRECTOR | 2241858 |
| MELLIN, JAMES PATRICK | CHIEF SALES OFFICER | 1859557 |
| SCAPPATOR, CANDACE LYNN | CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4697607 |
| SMITH, JANE LYNN | ASSISTANT VICE PRESIDENT | 2158938 |
| TIAN, QI NING | DIRECTOR | 6166914 |
| ZHANG, YUN | DIRECTOR | 7600833 |
| ZIMMERER, TRACY | VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4275481 |
Regulatory Assets Under Management
Total Number of Accounts
99,022AUM (Assets Under Management)
$47,255,793,924Disclosures
Regulatory Event
26Arbitration
11Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2026 | Cover Page | Report |
| 10/18/2024 | Cover Page | Report |
| 01/16/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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