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Yue Yi
INTEGRAL FINANCIAL LLC
Cupertino, CA 95014
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CRD#: 6148730
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Professional summary
Yue Yi is a registered financial professional currently at INTEGRAL FINANCIAL LLC located in Cupertino, California.
Yue is registered as a RR (Registered Representative) and started their career in finance in 2013. Yue has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Yue Yi's 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®
NoneExperience
Current
September 17, 2013 - Present
INTEGRAL FINANCIAL LLC
Office #1: 10054 Pasadena Ave., Cupertino, CA 95014RIA
BD
CRD#: 120343
Cupertino, CA
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(10/8/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTEGRAL FINANCIAL LLC
INTEGRAL FINANCIAL LLC
CRD#: 120343 / SEC#: , 8-65284
California
Registered Investment Advisory firm - SEC (1/1/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
10054 Pasadena Ave., Cupertino, CA 95014
Mailing Address
10054 Pasadena Ave., Cupertino, CA 95014
Phone number
(408) 996-1118
Established
California since 02/08/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
1
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
