David 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.
David Yu, who also goes by David S Yu, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 7 firms and has passed the Series 63, Series 86, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2011 - January 6, 2012
ABR MANAGEMENT LLC
October 23, 2009 - June 10, 2010
CAPSTONE GLOBAL MARKETS, LLC
March 31, 2006 - April 4, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 8, 2005 - March 14, 2006
CARIS & COMPANY, INC.
September 9, 2003 - February 9, 2005
DEUTSCHE BANK SECURITIES INC.
July 30, 2001 - September 10, 2003
B. RILEY SECURITIES, INC.
October 6, 2000 - March 28, 2001
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 9/7/2004
Limited Representative-Equity Trader ExamCurrent Firm
ABR MANAGEMENT LLC
CRD#: 155052 / SEC#: , 8-68693
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
