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Terrie J. Yung

Some features on this profile are disabled
CRD#: 5026415
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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.

Terrie Jeyong Yung, who also goes by Terrie J. Ho, Terrie Je Ho, Terrie Ho, Terrie Je Yong Yung, Terrie Jeyong Yung, Terrie Yung, was a registered financial professional .

Terrie is a previously registered financial professional and started their career in finance in 2005. Terrie had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Terrie J. Ho | Terrie Je Ho | Terrie Ho | Terrie Je Yong Yung | Terrie Jeyong Yung | Terrie Yung

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. 10/15/2024- Pathway Wealth Management- DBA for LPL Business (entity for LPL business)- Inv Rel- At Reported Business Location (s)

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 16, 2024 - June 23, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
TORRANCE, CA
Past

October 15, 2024 - June 23, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
TORRANCE, CA
Past

September 13, 2024 - October 25, 2024

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
RIVERSIDE, CA
Past

September 13, 2024 - October 25, 2024

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
Riverside, CA
Past

April 9, 2024 - September 17, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
TORRANCE, CA
Past

April 8, 2024 - September 17, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
TORRANCE, CA
Past

January 16, 2023 - August 10, 2023

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Anaheim, CA
Past

January 13, 2023 - August 10, 2023

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Anaheim, CA
Past

July 23, 2018 - February 6, 2023

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
LA HABRA, CA
Past

August 28, 2013 - July 13, 2018

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
LA HABRA, CA
Past

August 28, 2013 - February 6, 2023

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
LA HABRA, CA
Past

August 9, 2011 - March 8, 2012

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
PASADENA, CA
Past

August 9, 2011 - March 8, 2012

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
PASADENA, CA
Past

July 29, 2010 - February 25, 2011

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
PASADENA, CA
Past

July 28, 2010 - February 25, 2011

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
PASADENA, CA
Past

June 1, 2009 - July 12, 2010

MORGAN STANLEY

RIA
CRD#: 149777
BOSTON, MA
Past

June 1, 2009 - July 12, 2010

MORGAN STANLEY

BD
CRD#: 149777
BOSTON, MA
Past

November 26, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BOSTON, MA
Past

November 20, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BOSTON, MA
Past

January 12, 2007 - September 2, 2008

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
PASADENA, CA
Past

October 24, 2005 - April 4, 2006

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
MONTEBELLO, CA
Past

October 14, 2005 - April 4, 2006

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, 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".
LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/20/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/17/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/2005
General Securities Representative Examination

Current Firm

LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)
LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)
LPL OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)
LPL PWP PROGRAM BROCHURE A9 (9/30/2025)
LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)
LPL SAM PROGRAM BROCHURE A7 (9/30/2025)
LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)
LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)
LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)
LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)
LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)
LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)
LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)
LPL MS PROGRAM BROCHURE MS302 (9/30/2025)
LPL APP PROGRAM BROCHURE A16 (7/15/2025)
LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)
GUIDED WEALTH PORTFOLIOS (3/31/2025)
BANK WEALTH PROGRAM (3/31/2025)
LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
AUDETTE, MATTHEW JONPRESIDENT AND CHIEF FINANCIAL OFFICER4003349
ENYEDI, MATTHEW KLAUSMANAGING DIRECTOR, NATIONAL SALES4194266
GATES, GREGORYMANAGING DIRECTOR, CHIEF INFORMATION OFFICER7069201
JAMBUSARIA, ANERIMANAGING DIRECTOR LPL SERVICES GROUP7248335
MALFITANO, STEVEN THOMASSVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER3178848
MCHALE, JAMESEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER6052977
RICKETTS, JUDITH KOHOSKIEEXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER2758924
SIMONICH, BRENT BLAINEXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER3254859
STEINMEIER, RICHARD CCHIEF EXECUTIVE OFFICER AND DIRECTOR5109512

Regulatory assets under management

Total Number of Accounts2,369,378
AUM (Assets Under Management)$ 618,922,975,737

Disclosures

Regulatory Event208
Arbitration58
Bond4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report
07/19/2024
Cover Page
Report
11/09/2023
Cover Page
Report

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

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CRD#: 6413

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