Jonathan Yu, financial advisor Fremont CA
71 score

Jonathan Yu

CRD Number: 4573681
Current Firm: Transamerica Financial Advisors, Inc.

Jonathan Yu (CRD# 4573681) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Fremont, CA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Transamerica Financial Advisors, Inc. Fremont, CA Jan 2012 - Current 4
Matgrix Group Insurance Santa Clara, CA Nov 2007 - Current 9
World Financial Group Fremont, CA Jun 2002 - Current 14
Investment Advisors International Santa Clara, CA Feb 2009 - Jan 2012 2
World Group Securities Santa Clara, CA May 2003 - Jan 2012 8
Notary Public Santa Clara, CA Sep 2004 - Sep 2008 4
Citinet San Gabriel, CA Sep 2005 - Dec 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2003
S65 NASAA Investment Advisors Law Examination Dec 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Jonathan S. Yu
Phone Number: 727-299-1800
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
71

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