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Peter Kwok Wing Yam

Pension Maxima Investment Advisory, Inc.

White Plains, NY

CRD 2480363

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Employer firm

Pension Maxima Investment Advisory, Inc. CRD 144858

$39.4M regulatory AUM 5 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • PORTFOLIO MONITORING / CONSULTING

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

Current Employers
Pension Maxima Investment Advisory, Inc.

White Plains, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-03-14
  • NY RA
    APPROVED
    Since 2024-03-14

Branch Locations

White Plains, NY • 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
Ocbc Bank New York NY 05/2013 06/2021
Pension Maxima Investment Advisory, Inc. White Plains NY 03/2024 Present
Retired White Plains NY 07/2021 02/2024
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-01-20
S63 Uniform Securities Agent State Law Examination 2007-08-08
  • S65 Uniform Investment Adviser Law Examination
    2024-01-20
  • S63 Uniform Securities Agent State Law Examination
    2007-08-08

View on SEC IAPD

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