Nora Jupei Yeh-shen

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2019-09-30

CA RA
APPROVED

Since 2019-09-30

Branch Locations

Sunnyvale, CA • United States

2010 N First Street, Suite 500, San Jose, CA 95131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Technology Credit Union	San Jose	CA	06/2014	Present
Cetera Investment Services Llc	St Cloud	MN	09/2019	09/2019
Cetera Investment Advisers Llc	San Jose	CA	07/2015	09/2019
Lpl Financial Llc	San Jose	CA	09/2019	Present

06/2014 → Present

Technology Credit Union

San Jose, CA
09/2019 → 09/2019

Cetera Investment Services Llc

St Cloud, MN
07/2015 → 09/2019

Cetera Investment Advisers Llc

San Jose, CA
09/2019 → Present

Lpl Financial Llc

San Jose, CA

Previous Registrations

2015-07-09 → 2019-09-27

Cetera Investment Advisers Llc

San Jose, CA

Other Businesses

1)08/29/2022 - Tech Investment Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 09/01/2022 - 40 Hours Per Month/40 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-07-08
S63	Uniform Securities Agent State Law Examination	2007-02-23

S66 Uniform Combined State Law Examination

2015-07-08
S63 Uniform Securities Agent State Law Examination

2007-02-23

Other Names

Jupei Yeh
Nora Yeh

View on SEC IAPD