Benjamin Z. Yeung

SEABORN FINANCIAL

Silver Spring, MD

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CRD#: 5701197

Professional summary

Benjamin Zai Min Yeung, CFP® is a registered financial advisor currently at SEABORN FINANCIAL, LLC located in Silver Spring, Maryland.

Benjamin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Benjamin has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

BZY, LLC, FOUNDER, NOT INVESTMENT RELATED, 12409 GREENHILL DR, SILVER SPRING, MD 20904, STARTED 10/2017, 30 HRS/MONTH, NO HOURS DURING SECURITIES TRADING HOURS. Deliver tutoring services to high school and college students in various STEM subjects. Related record-keeping and administrative duties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Zai Min Yeung'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®

CFP^®

Certified Financial Planner

Experience

Current

January 28, 2025 - Present

SEABORN FINANCIAL, LLC

RIA

CRD#: 159073

Silver Spring, MD

Past

February 12, 2018 - May 27, 2020

FAI WEALTH MANAGEMENT

RIA

CRD#: 104610

COLUMBIA, MD

Past

August 26, 2009 - December 10, 2010

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

COLUMBIA, MD

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".

SEABORN FINANCIAL, LLC

BRITTON GREGORY FINANCIAL SERVICES, LLC | SEABORN FINANCIAL, LLC | GREGORY, PORTER BRITTON

CRD#: 159073 / SEC#: 801-131434

RIA

Registered Investment Advisory firm - (11/12/2024 Approved)

Texas

Registered Investment Advisory firm - (11/18/2024 Terminated)

Washington

Registered Investment Advisory firm - (8/29/2023 Terminated)

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).

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

Maryland
(1/28/2025)

IAR

Texas
(1/28/2025)

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

Series 63

Date: 9/9/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/25/2009

General Securities Representative Examination

Current Firm

SEABORN FINANCIAL, LLC

BRITTON GREGORY FINANCIAL SERVICES, LLC | SEABORN FINANCIAL, LLC | GREGORY, PORTER BRITTON

CRD#: 159073 / SEC#: 801-131434

RIA

Registered Investment Advisory firm - (11/12/2024 Approved)

Texas

Registered Investment Advisory firm - (11/18/2024 Terminated)

Washington

Registered Investment Advisory firm - (8/29/2023 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 814-7258

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 2B (10/7/2025)

Regulatory assets under management

Total Number of Accounts	427
AUM (Assets Under Management)	$ 117,262,767

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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Benjamin Z. Yeung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Zai Min Yeung's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEABORN FINANCIAL, LLC

FAI WEALTH MANAGEMENT

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

SEABORN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2009

Series 7

Date: 8/25/2009

Current Firm

SEABORN FINANCIAL, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEABORN FINANCIAL, LLC

TRUST BUT VERIFY

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