Monica Yuen-Fun Yeung

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 10/2022 → 01/2024
  Wells Fargo Clearing Services, Llc
  Costa Mesa, CA
• 10/2022 → 01/2024
  Wells Fargo Bank, Na
  Costa Mesa, CA
• 03/2016 → 09/2022
  Aia International Ltd.
  Hong Kong
• 02/2024 → Present
  Principal Life Insurance Company
  Irvine, CA
• 02/2024 → Present
  Principal Securities, Inc.
  Irvine, CA

Previous Registrations

• 2023-10-17 → 2024-01-30
  Wells Fargo Clearing Services, Llc
  Costa Mesa, CA
  Irvine, CA

Other Businesses

**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/16/2024 ADDRESS: 575 Anton Blvd, Suite 900, Costa Mesa CA 92626, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **MONICA Y. YEUNG POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023 ADDRESS: 2372 Morse Ave., Irvine CA 92614, United States DESCRIPTION: Notary service provided to Non-Principal clients and on Non-Principal related documents. I understand that I cannot notarize any Principal client documents. **MONICA YEUNG POSITION: Realtor NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 4010 Barranca Pkwy, Ste. 120, Irvine CA 92604, United States DESCRIPTION: Help friends when they need to buy or sell a home.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-09-13
• S66 Uniform Combined State Law Examination
  2023-08-08
• S63 Uniform Securities Agent State Law Examination
  2022-12-15

Other Names

• Monica Yuen-Fun Leung
• Monica Yeung