Yin Yin has been Controller of Kestra Advisory Services since September 2007, is not listed as a control person, but directly owns under 5% of the firm.
Kestra Advisory Services, LLC is an Austin, TX firm with $79.8B under management, 117,403 clients and 1,359 advisers across 545 offices, as of its September 2026 filing.
Yin Yin’s longest registration is the current one, 10 years at Kestra Advisory Services since 2016. Before joining Kestra Advisory Services in 2016, Yin Yin was registered through NFP Advisor Services, LLC.
- NFP Advisor Services, LLC– · 7 yearsAustin, TX · Adviser representative · Firm CRD 42046
Investment adviser representative registrations
Yin Yin is registered as an investment adviser representative in Texas, since April 2016.
- TexasSince 20 April 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 September 2008 |
| Series 7 | General Securities Representative Examination | 3 October 2007 |
| Series 27 | Financial and Operations Principal Examination | 1 June 1999 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Financial and Operations Principal Examination
- CRD
- 3219513
- Firm
- Kestra Advisory Services · CRD 283330
- Role
- Controller
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Yin Yin work?
Yin Yin has been Controller of Kestra Advisory Services, LLC since September 2007.
Is Yin Yin a financial advisor?
Yes. Yin Yin has a current investment-adviser registration in Texas, through Kestra Advisory Services since April 2016.
How many years of experience does Yin Yin have?
Yin Yin has 27 years in the financial industry, since June 1999, across 2 adviser firms.
What exams has Yin Yin passed?
Yin Yin has passed 4 licensing exams: the Series 27, Series 7, Series 66 and Series 99TO. The earliest, the Series 27, was passed in June 1999. FINRA credited Yin Yin with the SIE, which began in October 2018.
Is Yin Yin registered with FINRA?
Yes. Yin Yin has a current broker registration, under CRD 3219513.
Source: FINRA BrokerCheck
How can I verify Yin Yin’s record?
Search CRD 3219513 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Yin Yin’s full registration record.
- John AmorePresident
- Scott ZegersChief Financial Officer
- Michael PedlowEVP, Chief Compliance Officer
- Jeremy CarrEVP, General Counsel
- Jean-Luc DupontHead of Cybersecurity and Technology Risk
- Vinay KantEVP, Chief Digital Technology Officer
- Mark SchoenbeckEVP, Advisor Engagement
- Angela XavierEVP, Client Experience Officer