Yuko T. Du Bois

MCBROOM & ASSOCIATES

Las Vegas, NV 89134-6375

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CRD#: 3200540

Professional summary

Yuko T Du Bois, CFP®, who also goes by Yuko Arcotta, Yuko Tsutsumitake Dubois, Yuko T Suzuki, is a registered financial advisor currently at MCBROOM & ASSOCIATES, LLC located in Las Vegas, Nevada.

Yuko is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Yuko has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yuko Arcotta | Yuko Tsutsumitake Dubois | Yuko T Suzuki

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. Owner of MIRU & Associates LLC, providing Accounting /Bookkeeping and small business administration services ( NOT investment related). Nevada State Registered document preparer. Address : 9275 Gentle Cascade Ave, Las Vegas, NV 89178 Company was established in September 2013 but I have been actively managing the business since 2015. I spend approximately 100 hours /year, devoting 0 hours to this business during trading hours. 2. Hilokun LLC, Las Vegas, NV, Non-investment related, Real estate holding company, Owner, Started November 2020, 1 hours per month - 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yuko T Du Bois'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®

CFP^®

Certified Financial Planner

Start date: 2021

Experience

Current

March 28, 2012 - Present

MCBROOM & ASSOCIATES, LLC

Office #1: 1635 Village Center Cir Ste 140, Las Vegas, NV 89134-6375

RIA

CRD#: 151187

Las Vegas, NV

Past

September 23, 2010 - March 2, 2011

GIRARD SECURITIES, INC.

CRD#: 18697

LAS VEGAS, NV

Past

December 5, 2008 - March 2, 2011

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

LAS VEGAS, NV

Past

March 29, 2006 - December 23, 2008

MAUL CAPITAL MANAGEMENT

RIA

CRD#: 108737

LAS VEGAS, NV

Past

June 28, 2005 - December 15, 2008

MCM FINANCIAL CORP.

CRD#: 47919

LAS VEGAS, NV

Past

September 12, 2002 - February 25, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 14, 2000 - December 3, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

MCBROOM & ASSOCIATES, LLC

MCBROOM & ASSOCIATES, LLC | SUNSET FINANCIAL PLANNING, LLC

CRD#: 151187 / SEC#: 801-121225

RIA

Registered Investment Advisory firm - (5/12/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2022 Terminated)

Nevada

Registered Investment Advisory firm - (5/25/2022 Terminated)

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).

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
(3/29/2012)

IAR

Nevada
(3/28/2012)

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: 3/28/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/12/2000

General Securities Representative Examination

Current Firm

MCBROOM & ASSOCIATES, LLC

MCBROOM & ASSOCIATES, LLC | SUNSET FINANCIAL PLANNING, LLC

CRD#: 151187 / SEC#: 801-121225

RIA

Registered Investment Advisory firm - (5/12/2021 Approved)

California

Registered Investment Advisory firm - (5/4/2022 Terminated)

Nevada

Registered Investment Advisory firm - (5/25/2022 Terminated)

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Contact information

Main Address

1635 Village Center Cir Ste 140, Las Vegas, NV 89134-6375

Mailing Address

Phone number

(702) 267-6649

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MCBROOM ADV PART 2A (3/14/2025)

Regulatory assets under management

Total Number of Accounts	206
AUM (Assets Under Management)	$ 215,244,890

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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Firm Stability Insights

Yuko T. Du Bois

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yuko T Du Bois's CRS (Customer Relationship Summary).

Certified licenses

Experience

GIRARD SECURITIES, INC.

UNITED CAPITAL FINANCIAL ADVISORS

MAUL CAPITAL MANAGEMENT

MCM FINANCIAL CORP.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

MCBROOM & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/28/2006

Series 63

Date: 7/31/2000

Series 7

Date: 7/12/2000

Current Firm

MCBROOM & ASSOCIATES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MCBROOM & ASSOCIATES, LLC

TRUST BUT VERIFY

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