Judy Han
Professional summary
Judy Han, who also goes by Ju Yun Han, is a registered financial advisor currently at SVB WEALTH located in Menlo Park, California and FIRST CITIZENS INVESTOR SERVICES, INC. located in Menlo Park, California.
Judy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Judy has worked at 7 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Judy Han's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 28, 2022 - Present
SVB WEALTH
Office #1: 2770 Sandhill Road, Menlo Park, CA 94025December 12, 2023 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 2770 Sand Hill Rd, Menlo Park, CA 94025July 2, 2020 - December 31, 2023
SVB INVESTMENT SERVICES INC.
January 5, 2017 - July 29, 2022
SVB INVESTMENT SERVICES INC.
July 30, 2012 - January 17, 2017
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
July 11, 2012 - January 17, 2017
SVB ASSET MANAGEMENT
January 3, 2011 - May 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - May 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 13, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
October 5, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
Primary Firm SEC Registration
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/28/2022)
(8/30/2022)
Exams
FINRA
Current Firm
SVB WEALTH
CRD#: 172832 / SEC#: 801-80480
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
SVB WEALTH
CRD#: 172832Menlo Park, CA 94025TRUST BUT VERIFY
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