MY
Monica Y. Yeung
PRINCIPAL SECURITIES
Irvine, CA 92614
Some features on this profile are disabled
CRD#: 7644501
MY
Professional summary
Monica Yuen-fun Yeung, who also goes by Monica Yuen-fun Leung, Monica Yeung, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Irvine, California.
Monica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Monica has worked at 2 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Monica Yuen-Fun Leung | Monica Yeung
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.
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/16/2024 ADDRESS: 575 Anton Blvd, Suite 900, Costa Mesa CA 92626, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **MONICA Y. YEUNG POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023 ADDRESS: 2372 Morse Ave., Irvine CA 92614, United States DESCRIPTION: Notary service provided to Non-Principal clients and on Non-Principal related documents. I understand that I cannot notarize any Principal client documents. **MONICA YEUNG POSITION: Realtor NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 4010 Barranca Pkwy, Ste. 120, Irvine CA 92604, United States DESCRIPTION: Help friends when they need to buy or sell a home.
CRS (Client Relationship Summary) - RIA
Click below to view Monica Yuen-fun Yeung's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Monica Yuen-fun Yeung'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
February 16, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2372 Morse Ave Ste 1023, Irvine, CA 92614RIA
BD
CRD#: 1137
Irvine, CA
Current
February 15, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2372 Morse Ave Ste 1023, Irvine, CA 92614RIA
BD
CRD#: 1137
Irvine, CA
Past
October 17, 2023 - January 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COSTA MESA, CA
Past
December 6, 2022 - January 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COSTA MESA, 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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
Arizona(4/30/2025)
RR
California(2/15/2024)
IAR
California(2/16/2024)
RR
Ohio(6/20/2025)
RR
Utah(12/11/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/17/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/6/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
