David C. Yu

VERDANT CAPITAL MANAGEMENT

TORRANCE, CA 90503

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CRD#: 1885148

Professional summary

David C Yu, who also goes by David Chung Yu, Wai Yu, is a registered financial advisor currently at VERDANT CAPITAL MANAGEMENT located in Torrance, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. David has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Chung Yu | Wai Yu

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David C Yu's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 16, 2003 - Present

VERDANT CAPITAL MANAGEMENT

Office #1: 3838 West Carson Suite 218, Torrance, CA 90503

RIA

CRD#: 123688

TORRANCE, CA

Past

July 8, 1997 - October 22, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LONG BEACH, CA

Past

January 5, 1995 - October 22, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 31, 1993 - January 16, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 1, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 5, 1989 - September 30, 1989

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/16/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/20/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/23/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/22/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/9/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

VERDANT CAPITAL MANAGEMENT

DAVID YU ASSET MANAGEMENT | YU, DAVID CHUNG | VERDANT CAPITAL MANAGEMENT INC. | VERDANT CAPITAL MANAGEMENT

CRD#: 123688 / SEC#: 801-67307

RIA

Registered Investment Advisory firm - (7/16/2012 Terminated)

California

Registered Investment Advisory firm - (4/17/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3838 Carson Street Suite #218, Torrance, CA 90503

Mailing Address

3838 Carson Street Suite #218, Torrance, CA 90503

Phone number

(310) 540-2818

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 105,313,326

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David C. Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David C Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

H.J. MEYERS & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/1995

Series 63

Date: 1/31/1990

Series 3

Date: 4/23/1990

Series 7

Date: 11/19/1988

Series 10

Date: 11/22/2000

Series 9

Date: 10/9/2000

Current Firm

VERDANT CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VERDANT CAPITAL MANAGEMENT

TRUST BUT VERIFY

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