Jason J. Yoo
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.
Jason J Yoo, who also goes by Jaehn Hn Yoo, Jason Hn Yoo, Jason J Yoo, Jason Jae Yoo, Jason Yoo, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2006. Jason had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3 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 17, 2018 - April 1, 2019
CETERA INVESTMENT ADVISERS LLC
January 2, 2018 - April 1, 2019
CETERA INVESTMENT SERVICES LLC
December 2, 2015 - January 25, 2018
CITIGROUP GLOBAL MARKETS INC.
December 2, 2015 - January 25, 2018
CITIGROUP GLOBAL MARKETS INC.
July 8, 2013 - December 8, 2015
J.P. MORGAN SECURITIES LLC
July 6, 2013 - December 8, 2015
J.P. MORGAN SECURITIES LLC
March 11, 2011 - December 12, 2011
MORGAN STANLEY
February 11, 2011 - December 12, 2011
MORGAN STANLEY
April 25, 2007 - September 13, 2007
NATIONAL SECURITIES CORPORATION
February 20, 2007 - March 27, 2007
OPPENHEIMER & CO. INC.
November 14, 2006 - January 3, 2007
OPPENHEIMER & CO. INC.
August 8, 2006 - October 10, 2006
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
