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PY

Ping Yi

FORTUNE SECURITIES
Alhambra, CA 91801
Some features on this profile are disabled
CRD#: 4743978
PY

Professional summary

Ping Yi is a registered financial professional currently at FORTUNE SECURITIES, INC. located in Alhambra, California.

Ping is registered as a RR (Registered Representative) and started their career in finance in 2004. Ping has worked at 3 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

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 Ping Yi's CRS (Customer Relationship Summary).
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 15, 2021 - Present

FORTUNE SECURITIES, INC.

Office #1: 388 E. Valley Blvd., Suite 208, Alhambra, CA 91801Office #2: 388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
BD
CRD#: 40821
Alhambra, CA
Past

July 30, 2004 - November 8, 2011

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WALNUT, CA
Past

June 23, 2004 - August 16, 2004

MONY SECURITIES CORPORATION

BD
CRD#: 4386
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
(3/15/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/13/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/22/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORTUNE SECURITIES, INC.
FORTUNE SECURITIES, INC.

CRD#: 40821 / SEC#: , 8-49208

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
Mailing Address
388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
Phone number
(626) 281-6001
Established
California since 11/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHEN, YINYICEO, DIRECTOR ,SECRETARY, MUNI BOND PRINCIPAL & CFO2086259
CHEN, YINYICCO2086259
CHEN, JEN WEISHAREHOLDER2734506
LIN, SUNINSHAREHOLDER2556300
WU, FENG-SHENGSHAREHOLDER5672647

Disclosures

Regulatory Event1

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

FORTUNE SECURITIES, INC.

CRD#: 40821Alhambra, CA 91801

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