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Investment Division

Role: Administrator
Submitted by Sardana Niraj on
Yvonne Yiu profile pic

Yvonne has over 25 years experience in the financial industry including serving as a VP Regional Manager at Merrill Lynch, Branch Manager of E*Trade & VP at Citigold. She also founded and served as CEO of a FINRA broker-dealer for 10 years with over $1B AUM. Currently retired, Yvonne is working part-time as a FINRA Arbitrator and Expert Witness. As Mayor and Councilmember, she worked to balance the city’s budget, improve public safety, and promote economic development. Yvonne demonstrated leadership by underwriting a $110 million pension obligation bond at a favorable 2.66% interest rate, resulting in significant savings of $55 million, while safeguarding public pensions. Yvonne attended UCLA BA in Economics in 3 years; MBA from LMU; CRCP Certified Regulatory & Compliance Professional from Wharton Business School & held FINRA Securities Licenses Series 3, 4, 7, 8, 9, 10, 24, 27, 53, 63, 65, & 99.

FINRA Arbitrator and Expert Witness