Yan Sun has been Managing Partner of Taurus Financial since January 2022, is a control person of the firm and directly owns 75% or more of it.
Taurus Financial LLC is a Jersey City, NJ firm with $162M under management, 127 clients and 3 advisers in one office, as of its September 2026 filing.
Yan Sun’s longest registration was 8 years at LPL Financial LLC (2017–2025). Before joining Taurus Financial in 2025, Yan Sun was registered through LPL Financial LLC.
- Taurus FinancialCurrent– present · 1 yearJersey City, NJ · Adviser representative · Firm CRD 335067
- LPL Financial LLC– · 8 yearsNewton, MA · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
Yan Sun is registered as an investment adviser representative in 5 states, as a resident of Texas. The first approvals date from June 2025; the most recent is Washington, in January 2026.
- CaliforniaSince 24 June 2025
- New JerseySince 19 June 2025
- New YorkSince 6 August 2025
- TexasResidentSince 5 August 2025
- WashingtonSince 16 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 6 July 2018 |
| Series 65 | Uniform Investment Adviser Law Examination | 12 April 2017 |
| Series 55 | Limited Representative-Equity Trader Exam | 16 February 2012 |
| Series 3 | National Commodity Futures Examination | 3 April 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 16 August 2008 |
| Series 7 | General Securities Representative Examination | 7 July 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- National Commodity Futures Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 5497831
- Firm
- Taurus Financial · CRD 335067
- Role
- Managing Partner
- Office
- 1 EVERTRUST PLAZA, SUITE 307, Jersey City, NJ 07302
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Yan Sun work?
Yan Sun has been Managing Partner of Taurus Financial LLC since January 2022, and is a control person of the firm.
Is Yan Sun a financial advisor?
Yes. Yan Sun has a current investment-adviser registration in California, New Jersey, New York, Texas and Washington, through Taurus Financial since June 2025.
How many years of experience does Yan Sun have?
Yan Sun has 18 years in the financial industry, since July 2008, across 2 adviser firms.
What exams has Yan Sun passed?
Yan Sun has passed 6 licensing exams: the Series 7, Series 63, Series 3, Series 55, Series 65 and Series 24. The earliest, the Series 7, was passed in July 2008. FINRA credited Yan Sun with the SIE, which began in October 2018.
Where is Yan Sun based?
Yan Sun’s registered office is in Jersey City, NJ.
Is Yan Sun registered with FINRA?
Yes. Yan Sun has a current broker registration, under CRD 5497831.
Source: FINRA BrokerCheck
How can I verify Yan Sun’s record?
Search CRD 5497831 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Yan Sun’s full registration record.
