JY
Juan Yu
TRANSAMERICA FINANCIAL ADVISORS
Piscataway, NJ 08854
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CRD#: 5430038
JY
Professional summary
Juan Yu, who also goes by Jeanette Yu, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Piscataway, New Jersey.
Juan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Juan has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeanette 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc COSMO INSURANCE AGENCY POSITION: Benefit Consultant NATURE: Group Health Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2024 ADDRESS: 211 Blvd of the Americas Suite 407, Lakewood NJ 08701, United States DESCRIPTION: I will consultfor business ownersin group health insurance and shop among different group health insurance providers. ACV AUCTIONS POSITION: Director of Equity Plan Admin NATURE: Vehicle Digital Auction Marketplace INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 7 START DATE: 10/01/2024 ADDRESS: 640 Ellicott St #321, Buffalo NY 14203, United States DESCRIPTION: Own the administration of the company's global equity compensation programs, including the accurate processing of all awards/grants, exercises, ESPP purchases, cancellations, and releases in the US and in foreign jurisdictions. UNITED HEALTHCARE POSITION: independent agent NATURE: for-profit company specializing in health insurance and healthcare services INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: PO Box 1459, Minneapolis MN 55440, United States DESCRIPTION: provide education on Medicare and solution services for prospects
CRS (Client Relationship Summary) - RIA
Click below to view Juan Yu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Juan 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®
NoneExperience
Current
November 29, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 200 Centennial Avenue Suite 108-l, Piscataway, NJ 08854RIA
BD
CRD#: 16164
Piscataway, NJ
Current
March 21, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 200 Centennial Avenue Suite 108-l, Piscataway, NJ 08854RIA
BD
CRD#: 16164
Piscataway, NJ
Past
November 15, 2007 - December 12, 2007
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WARREN, NJ
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
Colorado(4/1/2024)
RR
New Jersey(4/4/2022)
IAR
New Jersey(11/29/2022)
RR
North Carolina(4/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/21/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
