Johnny D. 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.
Johnny Dong Sun Yu, who also goes by Johnny Yu, was a registered financial professional .
Johnny is a previously registered financial professional and started their career in finance in 1999. Johnny had worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - May 2, 2016
ESSEX NATIONAL SECURITIES, LLC
May 29, 2007 - December 31, 2014
CITIGROUP GLOBAL MARKETS INC.
February 5, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 16, 2000 - February 5, 2003
CAL FED INVESTMENTS
December 15, 1999 - January 28, 2000
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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.
