Wynn W. Yin

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CRD#: 4774283

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wynn Wein Yin, who also goes by Wynn W Yin, Wynn Yin, was a registered financial professional .

Wynn is a previously registered financial professional and started their career in finance in 2004. Wynn had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Wynn W Yin | Wynn Yin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 10, 2016 - December 20, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Milpitas, CA

Past

December 18, 2014 - July 27, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MILPITAS, CA

Past

December 18, 2014 - July 27, 2016

LPL FINANCIAL LLC

CRD#: 6413

MILPITAS, CA

Past

November 5, 2012 - December 21, 2012

LPL FINANCIAL LLC

CRD#: 6413

ALVISO, CA

Past

July 19, 2004 - November 30, 2010

WORLD GROUP SECURITIES, INC.

CRD#: 114473

ALVISO, CA

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 8/13/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/17/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/1/2006

Investment Company Products/Variable Contracts Principal Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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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Firm Stability Insights

Wynn W. Yin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/2014

Series 63

Date: 7/24/2004

SIE

Date: 7/27/2016

Series 6

Date: 7/17/2004

Series 26

Date: 4/1/2006

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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