Best Investors Account Sign in
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-12-22
CA RA APPROVED 2020-08-24
  • TX RA
    APPROVED_RES
    Since 2025-12-22
  • CA RA
    APPROVED
    Since 2020-08-24

Branch Locations

5337 Elkhorn Blvd, Sacramento, CA 95842 • United States

5901 Sunrise Blvd, Citrus Heights, CA 95610 • United States

4005 Manzanita Avenue, Carmichael, CA 95608 • United States

3202 West Grant Line Rd, Tracy, CA 95304 • United States

4321 Morada Lane, Stockton, CA 95212 • United States

2001 Mchenry Ave Suite F, Modesto, CA 95350 • United States

2450 Geer Road, Turlock, CA 95382 • United States

2 Pierce Ave Ste B, San Jose, CA 95110 • United States

1273 N Davis Rd, Salinas, CA 93907 • United States

1273 N Davis Rd, Salinas, CA 93907 • United States

5302 Pacific Ave, Stockton, CA 95207 • 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
OrganizationCityStateFromTo
Sherwin-Williams Sacramento CA 03/2017 09/2018
Uc Merced Merced CA 08/2013 05/2017
Unemployed Sacramento CA 09/2018 11/2018
New York Life Insurance Co Stockton CA 11/2018 10/2019
Nylife Securities Llc Stockton CA 04/2019 10/2019
Lpl Financial Llc Sacramento CA 11/2019 Present
The Golden 1 Credit Union Sacramento CA 11/2019 Present
  • 03/2017 → 09/2018
    Sherwin-Williams
    Sacramento, CA
  • 08/2013 → 05/2017
    Uc Merced
    Merced, CA
  • 09/2018 → 11/2018
    Unemployed
    Sacramento, CA
  • 11/2018 → 10/2019
    New York Life Insurance Co
    Stockton, CA
  • 04/2019 → 10/2019
    Nylife Securities Llc
    Stockton, CA
  • 11/2019 → Present
    Sacramento, CA
  • 11/2019 → Present
    The Golden 1 Credit Union
    Sacramento, CA
Other Businesses

1)11/21/2019 - Golden 1 Investment Services - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2019 2) 08/31/2021 - No Business Name - Investment Related - Home Based & Vallejo California 94591 - Real Estate Rental - Start Date: 08/16/2021 - 1 Hour Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-07
S63 Uniform Securities Agent State Law Examination 2019-09-17
  • S66 Uniform Combined State Law Examination
    2020-08-07
  • S63 Uniform Securities Agent State Law Examination
    2019-09-17
Other Names
  • Simon Yu Ye

View on SEC IAPD

More in Sacramento, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor