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Ms. Yvonne Yiu has over 17 years experience in financial management, operations, advisory, sales and securities regulations compliance. Ms. Yiu is in charged with leading Key West Investments, LLC with strategic direction and management of a broad and diverse financial services industry, responsible for all ongoing management and financial reporting with regular communications with FINRA (NYSE & NASD) / SEC and other regulatory bodies.
Ms. Yiu has been a senior consultant and manager at Charles Schwab, Citibank and E*Trade and received awards and achievements in different areas.
Before starting Key West Investments, LLC -- a licensed Broker-Dealer, Ms. Yiu was a VP, Regional Sales Manager and Portfolio Counselor at Merrill Lynch to manage a team of 50+ Financial Advisors with over $4 billion assets. At Merrill Lynch, she handled complex strategic issues to assist and guide Financial Advisors. She held weekly strategy meetings and support efforts in developing and executing sales, compliance and marketing strategies on new products including Paulson Hedge Funds, Carlyn Private Equity Funds and Merrill Lynch Real-Estate Opportunity Funds…etc. She assisted structuring in derivatives products with origination teams, and sourcing new potential clients. In addition, Ms. Yiu participated on Merrill Lynch's new product team to interview new fund managers in order to get on the Merrill Lynch's approved product list.
Ms. Yiu is a Certified Arbitrator for FINRA, she acts as a judge to resolve claims between investors vs. Broker-Dealers, Broker-Dealers vs. Financial Advisors and Broker-Dealers vs. Broker-Dealers.
Expert Witness and advisory experience
- Invited by SEC to give advice on Private Equity Funds and International Compliance Regulations to a panel consists of 15 SEC & FINRA regulators.
- Expert Witness cases with Hollywood Celebrity, Trust Account with Trustee deceased and Seniors not knowing much about investments...etc.
- Invited by TV as industry expert to discuss Private Real-Estate Funds and Public REITs.
- Distinguished & top ranked guest speaker at City University of Hong Kong.
- Direct communications with FINRA/SEC/STATE regulators at least once a week.
Ms. Yiu holds a B.A. in Economics (U.C.L.A.), M.B.A. in Finance and Marketing (Loyola Marymount University) and Certified Regulatory and Compliance Professional Program "CRCP" (Wharton Business School at University of Pennsylvania), Certified FINRA Arbitrator and the below registrations.
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