Yanjuan Huang

VIENNA ASSET MANAGEMENT LLC

Saratoga, CA 95070

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CRD#: 5967869

Professional summary

Yanjuan Huang, CFP®, who also goes by Jennifer Yanjuan Huang, is a registered financial advisor currently at VIENNA ASSET MANAGEMENT LLC located in Saratoga, California.

Yanjuan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Yanjuan has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jennifer Yanjuan Huang

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.

Jennifer Huang, Sole Proprietor; Saratoga, Ca; Fixed Insurance Sales; Investment-Related; Insurance Agent; 05/2017 - Present

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yanjuan Huang'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

Start date: 2014

Experience

Current

January 9, 2019 - Present

VIENNA ASSET MANAGEMENT LLC

Office #1: 14657 Big Basin Way, Saratoga, CA 95070

RIA

CRD#: 299725

Saratoga, CA

Past

May 15, 2017 - December 10, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

San Jose, CA

Past

May 12, 2017 - December 10, 2019

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

San Jose, CA

Past

June 10, 2016 - June 2, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN FRANCISCO, CA

Past

April 29, 2016 - June 2, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN FRANCISCO, CA

Past

September 14, 2011 - May 9, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOS ANGELES, 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".

VIENNA ASSET MANAGEMENT LLC

CRD#: 299725 / SEC#: 801-122371

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

California

Registered Investment Advisory firm - (11/12/2021 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

California
(1/9/2019)

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 66

Date: 6/10/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2011

General Securities Representative Examination

Current Firm

VIENNA ASSET MANAGEMENT LLC

CRD#: 299725 / SEC#: 801-122371

RIA

Registered Investment Advisory firm - (9/23/2021 Approved)

California

Registered Investment Advisory firm - (11/12/2021 Terminated)

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Contact information

Main Address

14657 Big Basin Way, Saratoga, CA 95070

Mailing Address

Phone number

(408) 882-1770

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 238,628,276

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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Advisor Monitoring

Firm Stability Insights

Yanjuan Huang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yanjuan Huang's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

VIENNA ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2016

Series 63

Date: 10/29/2011

SIE

Date: 10/1/2018

Series 7

Date: 9/13/2011

Current Firm

VIENNA ASSET MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VIENNA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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