Yen Q. Fung
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.
Yen Quang Fung, who also goes by Yem Quang Fung, Yen Quang Fung, was a registered financial professional .
Yen is a previously registered financial professional and started their career in finance in 2021. Yen had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2021 - June 21, 2022
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
July 6, 2021 - June 21, 2022
FIRST REPUBLIC SECURITIES COMPANY, LLC
April 26, 2021 - June 21, 2021
CHARLES SCHWAB & CO., INC.
January 15, 2021 - June 21, 2021
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/15/2021
General Securities Representative ExaminationCurrent Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
