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Yanyin Yu

Morgan Stanley

Cupertino, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-11-21
CA RA APPROVED 2022-10-31
  • TX RA
    APPROVED
    Since 2022-11-21
  • CA RA
    APPROVED
    Since 2022-10-31

Branch Locations

20400 Stevens Creek Boulevard Suite 350, Cupertino, CA 95014 • 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
J.P Morgan Securities Llc San Francisco CA 04/2019 07/2021
Jpmorgan Chase Bank, N.A. San Francisco CA 04/2019 07/2021
Self-Help For The Elderly San Francisco CA 09/2018 04/2019
University Of California, Berkeley Berkeley CA 01/2016 08/2018
Ronald E. Mcnair Scholars Program Office Berkeley CA 09/2015 01/2017
Target Express San Francisco CA 02/2015 01/2017
Morgan Stanley Smith Barney Llc Cupertino CA 08/2021 Present
  • 04/2019 → 07/2021
    J.P Morgan Securities Llc
    San Francisco, CA
  • 04/2019 → 07/2021
    Jpmorgan Chase Bank, N.A.
    San Francisco, CA
  • 09/2018 → 04/2019
    Self-Help For The Elderly
    San Francisco, CA
  • 01/2016 → 08/2018
    University Of California, Berkeley
    Berkeley, CA
  • 09/2015 → 01/2017
    Ronald E. Mcnair Scholars Program Office
    Berkeley, CA
  • 02/2015 → 01/2017
    Target Express
    San Francisco, CA
  • 08/2021 → Present
    Morgan Stanley Smith Barney Llc
    Cupertino, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-31
S63 Uniform Securities Agent State Law Examination 2019-07-02
  • S66 Uniform Combined State Law Examination
    2022-10-31
  • S63 Uniform Securities Agent State Law Examination
    2019-07-02
Other Names
  • Nicole Yu

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Cupertino, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CUPERTINO, CA
CITIGROUP GLOBAL MARKETS INC. · CUPERTINO, CA
EVEREST PRIVATE WEALTH · CUPERTINO, CA
AIMTOP ADVISORS, LLC · CUPERTINO, CA
AKRISH FINANCIAL ADVISORY · CUPERTINO, CA
FV ADVISORS LLC · CUPERTINO, CA
MINOVA CAPITAL LLC · CUPERTINO, CA

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