John E. Yu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Edward Yu, who also goes by Chong Miu, Miu Chong You, Miu Chong Yu, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2017 - June 1, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
October 25, 2011 - June 1, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
December 8, 2005 - April 30, 2009
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 19, 2005 - October 31, 2005
PFS INVESTMENTS INC.
March 15, 2000 - August 5, 2003
NATIONAL PLANNING CORPORATION
February 10, 1998 - August 4, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
January 15, 1996 - January 22, 1998
WM FUND SERVICES, INC.
April 10, 1995 - September 29, 1995
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 3, 1995 - April 10, 1995
ASTRA FUND DISTRIBUTORS CORP.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
