Larry Yu

CASTLE GROUP INVESTMENT COUNSEL

Arcadia, CA

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CRD#: 5258240

Professional summary

Larry Yu, who also goes by Depeng Yu, is a registered financial advisor currently at CASTLE GROUP INVESTMENT COUNSEL, INC. located in Arcadia, California and FORTUNE SECURITIES, INC. located in City Of Industry, California.

Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Larry has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Depeng 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.

1. Feather Insurance & Financial Services, Inc., 5 Corporate Park, Suite 220, Irvine, CA 92606, Owner/CEO (100% ownership), 5/2013 to present, sales of Fixed Life Insurance, Fixed Annuity, Health Insurance, Property & Casualty Insurance. 30 hours per week. (20 during trading hours); 2. Evergreen Realty & Associates, 9901 Irvine Center Dr., Irvine, CA 92618 Agent (No ownership), 8/2019 to present, buying and selling real estate properties. 10 hours per week. (5 hours during trading hours); 3. Fortune Securities, Inc., 388 E Valley Blvd, Suite 208, Alhambra, CA 91801, registered representative, investment-related, 9/2019 to present, 15 hours per week, 5 hours during trading hours; 4. Castle Group Investment Counsel, Inc. Arcadia CA, registered investment advisor rep, investment-related, 8/2020 to present, 10 hours per week, 2 hours during trading hours; 5. Experteez Insurance & Financial Services LLC, Irvine, CA 92620, owner, LLC for accounting and tax planning purpose, non-investment related, 12/2024 to president, 1 hour per week, 0 hour during trading hours; 6. 9 Words LLC, Irvine, CA 92618, owner, LLC for accounting and tax planning purpose, non-investment related, 12/2024 to present, <1 hour per week, 0 hour during trading hours; 7. Starcity Holdings LLC, Irvine, CA 92618, agent, assist LLC owner file annual Statement of Information for holding a residential real estate property, non-investment related, 12/2024 to present, <1 hour per week, 0 hour during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Yu'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®

None

Experience

Current

September 21, 2020 - Present

CASTLE GROUP INVESTMENT COUNSEL, INC.

RIA

CRD#: 134992

Arcadia, CA

Current

October 14, 2019 - Present

FORTUNE SECURITIES, INC.

Office #1: 18631 E. Gale Ave,, City Of Industry, CA 91748

CRD#: 40821

City Of Industry, CA

Past

April 5, 2010 - July 2, 2010

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

WALNUT, CA

Past

July 10, 2007 - April 1, 2008

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

GLENDALE, CA

Past

March 14, 2007 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

GLENDALE, CA

Past

March 14, 2007 - April 1, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

GLENDALE, CA

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
(11/14/2019)

IAR

California
(9/21/2020)

Nevada
(6/4/2024)

New Jersey
(2/4/2020)

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

IAR

Series 65

Date: 9/19/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 10/4/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 2/26/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/13/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CASTLE GROUP INVESTMENT COUNSEL, INC.

CRD#: 134992 / SEC#:

California

Registered Investment Advisory firm - (2/20/2002 Approved)

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Contact information

Main Address

Arcadia, CA

Mailing Address

Phone number

(626) 461-5325

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Larry Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Larry Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE SECURITIES, INC.

FORESTERS EQUITY SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2020

Series 63

Date: 11/14/2019

Series 6TO

Date: 10/4/2019

SIE

Date: 2/26/2019

Series 6

Date: 3/13/2007

FINRA

Current Firm

CASTLE GROUP INVESTMENT COUNSEL, INC.

Contact information

Documents

Red Flags

Company Information

CASTLE GROUP INVESTMENT COUNSEL, INC.

TRUST BUT VERIFY

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