SY
Sean Y. Yao
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
Las Vegas, NV 89135
Some features on this profile are disabled
CRD#: 5002048
SY
Professional summary
Sean Yijung Yao, who also goes by Yijung Yao, is a registered financial advisor currently at CASSADY WEALTH & RETIREMENT PLANNING L.L.C. located in Las Vegas, Nevada and GRADIENT SECURITIES, LLC located in Henderson, Nevada.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Sean has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yijung Yao
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.
1)CASSADY LAW OFFICES; NONINVT REL; 10799 W. TWAIN AVENUE, LAS VEGAS NV 89135 & 2400 WEST HORIZON RIDGE PARKWAY, HENDERSON NV 89052; LAW; PARALEGAL; START 01/2005; 40 HRS/MO; 40 HRS/MO DURING TRADING; PARALEGAL SERVICES. 2) CASSADY WEALTH & RETIREMENT PLANNING, LLC; INVT REL; HENDERSON NV ; INSURANCE; AGENT; START 01/2005; DBA NAME USED FOR SECURITIES BUSINESS AND FIXED INSURANCE SALES IN ADDITION TO BEING AN INDEPENDENT RIA (POSITION IAR - SPENDING 80 HOURS PER MONTH). 3) SALT & LIGHT, LLC; INV RELATED; 2400 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 06/2014; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY - PROPERTY MANAGER USED. 4) 3014 AURIGA DRIVE, LLC; INV RELATED; 2425 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 03/2012; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 5) 2503 FORMAX DRIVE, LLC; INV RELATED; 2400 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 02/2012; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 6) 10616 PRIM ROSE ARBOR, LLC; INV RELATED; 2400 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 05/2011; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 7) 10236 WOLF PACK LANE, LLC; INV RELATED; 2425 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 04/2011; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 8) 7213 MADARANG, LLC; INV RELATED; 2400 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 04/2011; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 9) 3112 TWILIGHT CREST, LLC; INV RELATED; 2400 W HORIZON RIDGE PKWY, HENDERSON, NV 89052; RENTAL PROPERTY; MANAGING MEMBER; START 04/2011; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 10) 9901 TAMARACK LANDING, LLC; INV RELATED; 9901 TAMARACK LANDING, LAS VEGAS, NV 89117; RENTAL PROPERTY; MANAGING MEMBER; START 03/2023; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY. 11) 13328 SOUR ORANGE, LLC; INV RELATED; 13228 SOUR ORANGE DRIVE, ORLANDO, FL 32828; RENTAL PROPERTY; MANAGING MEMBER; START 10/2019; 0 HOURS PER MONTH; 0 HOURS DURING TRADING HOURS; RENTAL PROPERTY.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Yijung Yao's 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®
NoneExperience
Current
January 11, 2021 - Present
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
Office #1: 10799 W. Twain Avenue, Las Vegas, NV 89135Office #2: 2400 W Horizon Ridge Pkwy, Henderson, NV 89052RIA
CRD#: 309710
Las Vegas, NV
Current
July 16, 2010 - Present
GRADIENT SECURITIES, LLC
Office #1: 2400 W Horizon Ridge Parkway, Henderson, NV 89052Office #2: 10799 W. Twain Avenue, Las Vegas, NV 89135RIA
BD
CRD#: 127701
Henderson, NV
Past
November 4, 2005 - July 19, 2010
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
LAS VEGAS, NV
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".
CW
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
CRD#: 309710 / SEC#: 801-129764
RIA
Registered Investment Advisory firm - (3/25/2024 Approved)Arizona
Registered Investment Advisory firm - (3/29/2024 Terminated)Nevada
Registered Investment Advisory firm - (4/1/2024 Terminated)Texas
Registered Investment Advisory firm - (3/29/2024 Terminated)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.RR
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
RR
Alaska(6/5/2018)
RR
Arizona(7/23/2010)
RR
California(7/16/2010)
RR
Colorado(7/16/2010)
RR
Delaware(6/12/2014)
RR
Florida(7/16/2010)
RR
Georgia(3/10/2016)
RR
Idaho(5/14/2015)
RR
Illinois(1/6/2015)
RR
Indiana(7/16/2010)
RR
Iowa(4/26/2016)
RR
Massachusetts(4/29/2016)
RR
Michigan(8/18/2015)
RR
Minnesota(10/22/2014)
RR
Missouri(2/14/2014)
RR
Montana(10/20/2025)
RR
Nevada(7/16/2010)
IAR
Nevada(1/11/2021)
RR
New Jersey(1/7/2014)
RR
New Mexico(3/10/2016)
RR
New York(1/24/2014)
RR
North Carolina(9/21/2010)
RR
North Dakota(4/6/2018)
RR
Ohio(2/18/2014)
RR
Oregon(6/12/2018)
RR
South Carolina(6/12/2018)
RR
Tennessee(1/10/2025)
RR
Texas(6/4/2012)
IAR
Texas(12/23/2021)
RR
Utah(6/12/2018)
RR
Virginia(2/14/2014)
RR
Washington(11/4/2014)
RR
Wisconsin(6/12/2018)
RR
Wyoming(6/12/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
CASSADY WEALTH & RETIREMENT PLANNING L.L.C.
CRD#: 309710 / SEC#: 801-129764
RIA
Registered Investment Advisory firm - (3/25/2024 Approved)Arizona
Registered Investment Advisory firm - (3/29/2024 Terminated)Nevada
Registered Investment Advisory firm - (4/1/2024 Terminated)Texas
Registered Investment Advisory firm - (3/29/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2400 W Horizon Ridge Pkwy, Henderson, NV 89052
Mailing Address
Phone number
(702) 650-4480
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 346 |
| AUM (Assets Under Management) | $ 155,768,876 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
