Richard Yuen is a registered investment advisor, based in Costa Mesa, CA, with 16 years of industry experience.
Location
Citi Private Bank, 650 Town Center Drive, Suite 1550, Costa Mesa, CA, 92626
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Citi Private Alternatives, LLC
July 2022 - Present · 3 yrs 10 mos
Citi Private Alternatives, LLCBroker
July 2022 - Present · 3 yrs 10 mos
Citigroup Global Markets INC.
June 2017 - Present · 8 yrs 11 mos
Citigroup Global Markets INC.
June 2017 - Present · 8 yrs 11 mos
Citigroup Global Markets INC.Broker
June 2017 - Present · 8 yrs 11 mos
Previous Registrations
Unionbanc Investment Services, LLC
March 2017 - July 2017 · 4 mos
Unionbanc Investment Services, LLCBroker
March 2017 - July 2017 · 4 mos
Citigroup Global Markets INC.
November 2015 - February 2017 · 1 yr 3 mos
Citigroup Global Markets INC.Broker
November 2015 - February 2017 · 1 yr 3 mos
J.P. Morgan Securities LLC
October 2012 - November 2015 · 3 yrs 1 mo
J.P. Morgan Securities LLCBroker
October 2012 - November 2015 · 3 yrs 1 mo
Chase Investment Services CORP.
April 2010 - October 2012 · 2 yrs 6 mos
Chase Investment Services CORP.Broker
April 2010 - October 2012 · 2 yrs 6 mos
Ameriprise Financial Services, INC.
October 2008 - December 2008 · 2 mos
Ameriprise Financial Services, INC.Broker
September 2008 - December 2008 · 3 mos
State Registrations19 states
AZCACOCTDCFLHIILKSMAMDMINCNJNVNYTXUTWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.