Yu Ye
Investment adviser representative at LPL Financial LLC
6 yearsExperience
2 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
6 years in the industry.
- LPL Financial LLCNov 2019 to now
- Nylife Securities LLCApr 2019 to Oct 2019
- New York Life Insurance CoNov 2018 to Oct 2019
- UnemployedSep 2018 to Nov 2018
- Sherwin-williamsMar 2017 to Sep 2018
- Uc MercedAug 2013 to May 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2019
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7045004
- Firm CRD
- 6413