Yvonne Yiu Rating

Profile Completion:Not Rated
Site Activity:Not Rated
Knowledge:Not Rated

CONTACT INFORMATION

Yvonne Yiu
626-377-9988
Fax
626-377-9968
CEO

ADDRESS

227 W Valley Blvd, #298-B, San Gabriel, CA, 91776
Website
Contact Email
Linked In

PRACTICE AREAS

Banking & Finance
Marketing
Registered Broker Dealer

LANGUAGES

Cantonese
Chinese (Mandarin)
English

0 followers

Last Update: July 23, 2016 06:12 AM

User was viewed 938 times (total).

Yvonne Yiu

Yvonne Yiu

(29%)

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.


Securities Disclaimer

This website is for informational purposes only and does not constitute an offer or solicitation to sell shares or securities. Any such offer or solicitation will be made only by means of an investment's confidential Offering Memorandum and in accordance with the terms of all applicable securities and other laws. This website does not constitute or form part of, and should not be construed as, any offer for sale or subscription of, or any invitation to offer to buy or subscribe for, any securities, nor should it or any part of it form the basis of, or be relied on in any connection with, any contract or commitment whatsoever. EB5Projects.com LLC and its affiliates expressly disclaim any and all responsibility for any direct or consequential loss or damage of any kind whatsoever arising directly or indirectly from: (i) reliance on any information contained in the website, (ii) any error, omission or inaccuracy in any such information or (iii) any action resulting therefrom.