Jae Yu is a registered investment advisor, based in Los Angeles, CA, with 26 years of industry experience.
Location
2121 Avenue of the Stars, Suite 1600, Los Angeles, CA, 90067-5040
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Jae works full-time as a product wholesaler for SIA model solutions. Jae also owns rental property through J & J Yu Properties, LLC, dedicating minimal time to this.
Employment History
Current Registrations
Signature Estate Securities, LLCBroker
January 2024 - Present · 2 yrs 3 mos
Signature Investment Advisors, LLC
May 2021 - Present · 4 yrs 11 mos
Previous Registrations
Seia
October 2020 - May 2021 · 7 mos
Royal Alliance Associates, INC.Broker
October 2020 - June 2023 · 2 yrs 8 mos
Bancwest Investment Services, INC.Broker
May 2019 - October 2020 · 1 yr 5 mos
Bancwest Investment Services, INC. (bwis)
May 2019 - October 2020 · 1 yr 5 mos
Lockwood Advisors INC
November 2007 - March 2019 · 11 yrs 4 mos
Pershing LLCBroker
November 2007 - March 2019 · 11 yrs 4 mos
Charles Schwab & CO., INC.
July 2006 - October 2007 · 1 yr 3 mos
Charles Schwab & CO., INC.Broker
July 2006 - October 2007 · 1 yr 3 mos
Usallianz Securities, INC.Broker
April 2005 - November 2005 · 7 mos
Old Mutual Investment PartnersBroker
July 2000 - October 2004 · 4 yrs 3 mos
Prudential Securities IncorporatedBroker
May 1999 - May 2000 · 1 yr
Uam Fund Distributors, INC.Broker
May 1998 - October 1998 · 5 mos
Vanguard Marketing CorporationBroker
November 1996 - September 1997 · 10 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.