Yun H. Rhodes

CRD#: 4390632

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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.

Yun Han Rhodes, who also goes by Dyan Y Han, Dyan Han, Yun Han, was a registered financial professional .

Yun is a previously registered financial professional and started their career in finance in 2001. Yun had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dyan Y Han | Dyan Han | Yun Han

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 21, 2024 - September 2, 2025

SAS FINANCIAL ADVISORS, LLC.

RIA

CRD#: 288015

SAN FRANCISCO, CA

Past

February 25, 2010 - August 19, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SAN RAMON, CA

Past

July 7, 2008 - February 2, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

SAN RAMON, CA

Past

February 20, 2008 - September 3, 2010

VALENTINE CAPITAL ASSET MANAGEMENT, INC.

RIA

CRD#: 140861

SAN RAMON, CA

Past

December 7, 2007 - February 21, 2008

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

SAN RAMON, CA

Past

December 7, 2007 - April 28, 2008

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

SAN RAMON, CA

Past

April 24, 2006 - December 14, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

SAN FRANCISCO, CA

Past

November 13, 2003 - December 14, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

SAN FRANCISCO, CA

Past

September 9, 2003 - December 14, 2007

TD AMERITRADE, INC.

CRD#: 7870

SAN FRANCISCO, CA

Past

August 23, 2001 - February 20, 2002

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

SAS FINANCIAL ADVISORS, LLC.

CRD#: 288015 / SEC#: 801-124837

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

California

Registered Investment Advisory firm - (7/30/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 11/7/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/22/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/15/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/25/2006

General Securities Sales Supervisor - Options Module Examination

Current Firm

SAS FINANCIAL ADVISORS, LLC.

CRD#: 288015 / SEC#: 801-124837

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

California

Registered Investment Advisory firm - (7/30/2022 Terminated)

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Contact information

Main Address

50 California Street Suite 1500, San Francisco, CA 94111

Mailing Address

Phone number

(415) 277-5955

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAS FINANCIAL ADVISORS - ADV PART 2B BROCHURE (2026) (3/20/2026)

SAS FINANCIAL ADVISORS - ADV PART 2A BROCHURE (2026) (3/20/2026)

Regulatory assets under management

Total Number of Accounts	471
AUM (Assets Under Management)	$ 166,998,844

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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Yun H. Rhodes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SECURITIES AMERICA, INC.

VALENTINE CAPITAL ASSET MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

SAS FINANCIAL ADVISORS, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/7/2003

Series 63

Date: 8/22/2001

Series 7

Date: 9/8/2003

Series 6

Date: 8/22/2001

Series 10

Date: 4/15/2006

Series 9

Date: 3/25/2006

Current Firm

SAS FINANCIAL ADVISORS, LLC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAS FINANCIAL ADVISORS, LLC.

TRUST BUT VERIFY

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