Joanie Yayen Yau

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA

Other Businesses

I*137633 For profit or not for profit: For-Profit Organization Name of outside business organization: JY LoveCraft Investment related: N Address of business: Newark, California 94560 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 4/26/2021 Number of hours devoted: 20 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: I will be making crafts such as handmade greeting cards and personalized clothing items and face masks to sell online.

Exams

• S66 Uniform Combined State Law Examination
  2019-05-07

Other Names

• Joanie Yau