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 in a clear, concise and relevant manner 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.
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.
FINRA Series 3 Registration -- Commodity Futures Examination
FINRA Series 4 Registration -- Registered Options Principal
FINRA Series 7 Registration -- Full Registration/General Securities Representative
FINRA Series 8 Registration -- Branch Office Manager (NYSE)
FINRA Series 9 Registration -- General Securities Sales Supervisor
FINRA Series 10 Registration -- Securities Manager
FINRA Series 24 Registration -- General Securities Principal
FINRA Series 27 Registration -- Financial and Operations Principal
FINRA Series 53 Registration -- Municipal Securities Principal
FINRA Series 63 Registration -- Uniform Securities Agent State Law Examination
FINRA Series 65 Registration -- Uniform Investment Advisor Law Examination
FINRA Series 99 Registration --Operations Principal
California Insurance License