Stephen Y. Yu

THE BALDWIN GROUP WEALTH ADVISORS

IRVINE, CA 92614

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CRD#: 4635091

Professional summary

Stephen Yun-sum Yu, who also goes by Yun-sum Stephen Yu, Yunsum Stephen Yu, is a registered financial advisor currently at THE BALDWIN GROUP WEALTH ADVISORS, LLC located in Irvine, California and EQUITABLE ADVISORS, LLC located in Irvine, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Yun-Sum Stephen Yu | Yunsum Stephen Yu

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.

Registered Investment Advisor, The Baldwin Group Wealth Advisors, LLC. LOCATED AT: 2050 MAIN ST., SUITE 510, IRVINE, CA 92614. Investment-related. (Employee of parent company The Baldwin Insurance Group, Inc. (through subsidiary The Baldwin Group Financial Services Holdings, LLC) [grouped under The Baldwin Group]), 4211 W. Boy Scout Blvd., Suite 800, Tampa, FL 33607. Start Dated: Jan 2021). Start date: April 2018 Equitable Advisors, LLC Investment related-Registered Representative, 1345 Avenue of the Americas, New York, NY 10105 Five hours monthly during securities trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Yun-sum Yu'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®

None

Experience

Current

March 12, 2021 - Present

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Office #1: 2050 Main Street Suite 950, Irvine, CA 92614

RIA

CRD#: 312284

IRVINE, CA

Current

May 7, 2018 - Present

EQUITABLE ADVISORS, LLC

Office #1: 2050 Main Street Suite 510, Irvine, CA 92614

RIA

CRD#: 6627

Irvine, CA

Past

May 9, 2018 - March 12, 2021

BURNHAM GIBSON WEALTH ADVISORS, INC.

RIA

CRD#: 282035

IRVINE, CA

Past

March 25, 2009 - April 7, 2017

LUMEN FUNDS

RIA

CRD#: 149283

HUNTINGTON BEACH, CA

Past

March 12, 2007 - October 15, 2008

TARBOX FAMILY OFFICE, INC.

RIA

CRD#: 106079

NEWPORT BEACH, CA

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".

THE BALDWIN GROUP WEALTH ADVISORS, LLC

BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP

CRD#: 312284 / SEC#: 801-120404

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/19/2018)

IAR

California
(3/12/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/11/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/1/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/7/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE BALDWIN GROUP WEALTH ADVISORS, LLC

BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP

CRD#: 312284 / SEC#: 801-120404

RIA

Registered Investment Advisory firm - (2/26/2021 Approved)

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Contact information

Main Address

4211 W. Boy Scout Blvd. Suite 800, Tampa, FL 33607

Mailing Address

Phone number

(813) 934-2743

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE BALDWIN GROUP WEALTH ADVISORS, LLC ADV P2A 03.26.2025 (4/9/2025)

Regulatory assets under management

Total Number of Accounts	2,356
AUM (Assets Under Management)	$ 21,043,141,324

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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Advisor Monitoring

Firm Stability Insights

Stephen Y. Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Yun-sum Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

BURNHAM GIBSON WEALTH ADVISORS, INC.

LUMEN FUNDS

TARBOX FAMILY OFFICE, INC.

Primary Firm SEC Registration

THE BALDWIN GROUP WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/11/2018

Series 65

Date: 10/1/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/7/2018

FINRA

Current Firm

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE BALDWIN GROUP WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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