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Yung-shung Yu

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CRD#: 2550597
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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.

Yung-shung Yu, who also goes by Yungshung Yu, was a registered financial professional .

Yung-shung is a previously registered financial professional and started their career in finance in 1995. Yung-shung had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Yungshung 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 15, 2008 - November 26, 2014

TREASURE FINANCIAL CORP.

BD
CRD#: 38323
RICHARDSON, TX
Past

April 9, 2007 - October 1, 2008

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

December 5, 2006 - March 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
FOSTER CITY, CA
Past

December 5, 2006 - March 9, 2007

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
FOSTER CITY, CA
Past

August 11, 2003 - December 1, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
PLEASANTON, CA
Past

November 5, 2002 - July 1, 2003

LOCUST STREET SECURITIES, INC.

BD
CRD#: 1703
DES MOINES, IA
Past

July 12, 2000 - October 15, 2002

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

February 20, 1998 - July 14, 2000

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

December 11, 1996 - September 20, 1997

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

April 29, 1996 - October 29, 1996

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD
CRD#: 20597
CHICO, CA
Past

September 21, 1995 - April 25, 1996

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

January 9, 1995 - September 29, 1995

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/26/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/6/1995
General Securities Representative Examination

Current Firm

TF
TREASURE FINANCIAL CORP.
TREASURE FINANCIAL CORP.

CRD#: 38323 / SEC#: , 8-48165

BD
Terminated by SEC on 02/12/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 02/23/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CHEN, PAOYUDIRECTOR/TREASURE/SHAREHOLDER1872460
LIN, ENCHUANDIRECTOR/SECRETARY/SHAREHOLDER2604017
WU, TSANHWAPRES/DIRECTOR/FINOP/SROP/CROP/CHIEF COMPLIANCE OFFICER1541471

Disclosures

Regulatory Event1

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.

Company Information

TREASURE FINANCIAL CORP.

CRD#: 38323

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