Yi Gu

NATIXIS ADVISORS

Boston, MA 02199

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CRD#: 6061981

Professional summary

Yi Gu, who also goes by Daphne Gu, is a registered financial advisor currently at NATIXIS ADVISORS, LLC located in Boston, Massachusetts and NATIXIS DISTRIBUTION, LLC located in Boston, Massachusetts.

Yi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Yi has worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daphne Gu

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 Yi Gu'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®

None

Experience

Current

October 23, 2018 - Present

NATIXIS ADVISORS, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199

RIA

CRD#: 106800

Boston, MA

Current

August 30, 2012 - Present

NATIXIS DISTRIBUTION, LLC

Office #1: 888 Boylston Street Suite 800, Boston, MA 02199-8197

CRD#: 34754

Boston, MA

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".

NATIXIS ADVISORS, LLC

CRD#: 106800 / SEC#: 801-48408

RIA

Registered Investment Advisory firm - (3/1/1995 Approved)

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

Massachusetts
(10/23/2018)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NATIXIS ADVISORS, LLC

CRD#: 106800 / SEC#: 801-48408

RIA

Registered Investment Advisory firm - (3/1/1995 Approved)

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Contact information

Main Address

888 Boylston Street Suite 800, Boston, MA 02199

Mailing Address

Phone number

(617) 449-2802

Established

Firm type

Fiscal year end

# of Employees

426

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NATIXIS ADVISORS, LLC FORM ADV - PART 2A (10/30/2025)

Regulatory assets under management

Total Number of Accounts	85,258
AUM (Assets Under Management)	$ 85,230,726,459

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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Firm Stability Insights

Yi Gu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yi Gu's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIXIS ADVISORS, LLC

NATIXIS DISTRIBUTION, LLC

Primary Firm SEC Registration

NATIXIS ADVISORS, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2012

FINRA

Current Firm

NATIXIS ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NATIXIS ADVISORS, LLC

TRUST BUT VERIFY

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