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Michael D. Yu

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CRD#: 5944414
MY
Michael David Yu

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.

Michael David Yu, who also goes by Michael D Yu, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2015. Michael had worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.

Aliases

Michael D 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) Third Bridge (US) Inc. 1411 Broadway 31st Floor New York, New York 10018 USA Nature of Business: FYI, spoke with Marcus about this already and he is ok with it. Third Bridge connects consulting clients with industry experts to discuss industry trends. In this case they have a consulting client looking to speak with someone working in Technology in Financial Services to discuss industry trends. I would also be able to ask them about their views in where technology is moving with regards to Financial Services. We would not discuss anything SA Stone specific. Investment Related: No Business Position: N/A Business Duties: Have a conversation with Third Bridge's client about industry trends. Estimated to be about 30 minutes. Business Start Date: 02/26/2022 Approximately less than one hour spent on this OBA monthly with zero during market hours. 2) AlphaSights - 351 California Street, 2nd Floor, San Francisco, CA 94104, United States Nature of Business: Periodic (very infrequent) expert knowledge consulting (typically 1 hour discussions) Investment Related: No Business Position: Expert Business Duties: Participate in discussions, providing feedback and insights about various technology products. Business Start Date: 06/25/2025 Zero hours spent on this OBA during market hours

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 9, 2019 - December 31, 2019

QUEST CAPITAL STRATEGIES, INC.

RIA
CRD#: 16783
LAGUNA HILLS, CA
Past

December 7, 2019 - December 31, 2019

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

December 6, 2019 - April 1, 2026

STONEX ADVISORS INC.

RIA
CRD#: 174182
Irvine, CA
Past

December 6, 2019 - April 1, 2026

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

January 30, 2017 - December 6, 2019

QUEST CAPITAL STRATEGIES, INC.

RIA
CRD#: 16783
LAKE FOREST, CA
Past

October 23, 2015 - December 6, 2019

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAKE FOREST, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/25/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/23/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/2/2017
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2016
General Securities Principal Examination

Current Firm

QC
QUEST CAPITAL STRATEGIES, INC.
QUEST CAPITAL | QUEST CAPITAL STRATEGIES, INC. | QUEST CAPITAL INVESTMENTS, INC.

CRD#: 16783 / SEC#: 801-77927, 8-34532

BD
Terminated by SEC on 02/22/2020
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Contact information

Main Address
Laguna Hills, CA
Mailing Address
Phone number
Established
California since 03/18/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
TSAI, CAROLYNECEO, CCO, OFFICE MANAGER2272768
TSAI, CAROLYNECFO, FIN OP2272768

Disclosures

Regulatory Event5
Arbitration6

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.

Company Information

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

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