William Yuen
William Yuen is a registered investment advisor at Raymond James & Associates, INC., based in Newport Beach, CA, with 25 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.25% |
Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.
Fee Estimator
Location
620 Newport Ctr Dr, Suite 900, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (3)
Regulatory
February 2015Regulatory
June 2014Employment Separation After Allegations
May 2013Employment History
Current Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Previous Registrations
Oppenheimer & CO. INC.Broker
Oppenheimer & CO. INC.
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations14 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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