Luke T. 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.
Luke Tsu-kun Yu, who also goes by Luke Tsukun Yu, was a registered financial professional .
Luke is a previously registered financial professional and started their career in finance in 1997. Luke had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - August 3, 2012
TNP SECURITIES, LLC
June 26, 2007 - June 2, 2011
KBS CAPITAL MARKETS GROUP LLC
August 21, 2006 - June 13, 2007
GRUBB & ELLIS SECURITIES, INC.
February 24, 1999 - June 1, 2001
EQUITABLE DISTRIBUTORS, LLC
April 3, 1997 - September 11, 1998
PACIFIC SELECT DISTRIBUTORS, LLC
January 9, 1997 - January 24, 1997
PACIFIC SELECT DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
TNP SECURITIES, LLC
CRD#: 149178 / SEC#: , 8-68119
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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