Wai Ngan H. Yu

SUMMA GLOBAL ADVISORS

Clackamas, OR 97015

Some features on this profile are disabled

CRD#: 5194234

Professional summary

Wai Ngan Henry Yu, CFP®, who also goes by Henry Yu, Wai Ngan Yu, is a registered financial advisor currently at SUMMA GLOBAL ADVISORS, LLC located in Clackamas, Oregon.

Wai Ngan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Wai Ngan has worked at 3 firms and has passed the Series 63, Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Henry Yu | Wai Ngan 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wai Ngan Henry 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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

October 27, 2009 - Present

SUMMA GLOBAL ADVISORS, LLC

Office #1: 12901 Se 97th Ave Suite 390, Clackamas, OR 97015

RIA

CRD#: 148713

Clackamas, OR

Past

June 26, 2008 - August 3, 2009

COLDSTREAM SECURITIES, INC.

CRD#: 46835

BELLEVUE, WA

Past

July 27, 2006 - August 3, 2009

COLDSTREAM WEALTH MANAGEMENT

RIA

CRD#: 108805

BELLEVUE, WA

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".

SUMMA GLOBAL ADVISORS, LLC

CRD#: 148713 / SEC#: 801-71249

RIA

Registered Investment Advisory firm - (4/7/2010 Approved)

Oregon

Registered Investment Advisory firm - (4/13/2010 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/27/2019)

IAR

Hawaii
(11/14/2023)

IAR

Oregon
(10/27/2009)

IAR

Texas
(11/14/2023)

IAR

Washington
(1/23/2012)

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

Series 63

Date: 7/25/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/16/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 6/25/2008

General Securities Representative Examination

Current Firm

SUMMA GLOBAL ADVISORS, LLC

CRD#: 148713 / SEC#: 801-71249

RIA

Registered Investment Advisory firm - (4/7/2010 Approved)

Oregon

Registered Investment Advisory firm - (4/13/2010 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

12901 Se 97th Ave Suite 390, Clackamas, OR 97015

Mailing Address

Phone number

(503) 636-2022

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SGA ADV PART 2A BROCHURE (4/9/2025)

Regulatory assets under management

Total Number of Accounts	374
AUM (Assets Under Management)	$ 140,082,192

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.

Similar Advisors

Gregory Bowen

MARINER WEALTH

IAR

Portland, OR

Jason Lambert

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Viengsavanh Bounnam

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Wai Ngan H. Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wai Ngan Henry Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMA GLOBAL ADVISORS, LLC

COLDSTREAM SECURITIES, INC.

COLDSTREAM WEALTH MANAGEMENT

Primary Firm SEC Registration

SUMMA GLOBAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/2008

Series 65

Date: 8/16/2006

Series 7

Date: 6/25/2008

Current Firm

SUMMA GLOBAL ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMA GLOBAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors