Jae H. Yu

SIGNATURE INVESTMENT ADVISORS

Los Angeles, CA 90067-5040

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CRD#: 2808305

Professional summary

Jae Ho Yu, who also goes by Jae H Yu, Jae Ho Yu, is a registered financial advisor currently at SIGNATURE INVESTMENT ADVISORS, LLC located in Los Angeles, California and SIGNATURE ESTATE SECURITIES, LLC located in Los Angeles, California.

Jae is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jae has worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jae H Yu | Jae Ho 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.

1) SEIA/SIA POSITION: Product Wholesaler NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/12/2020 ADDRESS: 2121 Avenue of the Stars, Los Angeles CA 90067, United States DESCRIPTION: product wholesaler for SIA model solutions 2) J & J YU PROPERTIES, LLC POSITION: Owner NATURE: LLC established to own rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 3712 Michelle Dr., Torrance CA 90503, United States DESCRIPTION: own rental property

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jae Ho Yu's CRS (Customer Relationship Summary).

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

May 12, 2021 - Present

SIGNATURE INVESTMENT ADVISORS, LLC

Office #1: 2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067-5040

RIA

CRD#: 160715

Los Angeles, CA

Current

January 17, 2024 - Present

SIGNATURE ESTATE SECURITIES, LLC

Office #1: 2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067

CRD#: 18923

Los Angeles, CA

Past

October 14, 2020 - May 12, 2021

SEIA

RIA

CRD#: 108163

LOS ANGELES, CA

Past

October 13, 2020 - June 30, 2023

OSAIC WEALTH, INC.

CRD#: 23131

LOS ANGELES, CA

Past

May 7, 2019 - October 15, 2020

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

NEWPORT BEACH, CA

Past

May 7, 2019 - October 15, 2020

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

NEWPORT BEACH, CA

Past

November 21, 2007 - March 1, 2019

BNY ADVISORS

RIA

CRD#: 106108

Torrance, CA

Past

November 21, 2007 - March 1, 2019

PERSHING LLC

CRD#: 7560

MALVERN, PA

Past

July 10, 2006 - October 29, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN FRANCISCO, CA

Past

July 10, 2006 - October 29, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 19, 2005 - November 23, 2005

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

July 6, 2000 - October 14, 2004

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

BOSTON, MA

Past

May 11, 1999 - May 4, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 11, 1998 - October 26, 1998

UAM FUND DISTRIBUTORS, INC.

CRD#: 24364

BOSTON, MA

Past

November 27, 1996 - September 12, 1997

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIGNATURE INVESTMENT ADVISORS, LLC

CRD#: 160715 / SEC#: 801-76593

RIA

Registered Investment Advisory firm - (5/2/2012 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(5/12/2021)

California
(1/17/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/20/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/2/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/11/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SIGNATURE INVESTMENT ADVISORS, LLC

CRD#: 160715 / SEC#: 801-76593

RIA

Registered Investment Advisory firm - (5/2/2012 Approved)

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Contact information

Main Address

2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067-5040

Mailing Address

Phone number

(888) 349-3241

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIA ADV 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	14,455
AUM (Assets Under Management)	$ 5,732,847,257

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

Jae H. Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jae Ho Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATURE ESTATE SECURITIES, LLC

SEIA

OSAIC WEALTH, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BNY ADVISORS

PERSHING LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

USALLIANZ SECURITIES, INC.

OLD MUTUAL INVESTMENT PARTNERS

PRUDENTIAL EQUITY GROUP, LLC

UAM FUND DISTRIBUTORS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

SIGNATURE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2009

Series 65

Date: 7/2/1999

Series 63

Date: 11/19/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/22/1999

Series 6

Date: 11/11/1996

Series 24

Date: 5/12/2005

FINRA

Current Firm

SIGNATURE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNATURE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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