Misook Yu

YU FINANCIAL ADVICE

Chesterfield, MO 63017

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CRD#: 6173783

Professional summary

Misook Yu, CFP® is a registered financial advisor currently at YU FINANCIAL ADVICE, LLC located in Chesterfield, Missouri.

Misook is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Misook has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Name: YU & Money LLC Address: 1305 Carriage Crossing Lane, Chesterfield, MO 63005 START DATE: 10/05/2017 HOURS/MONTH: About 30% of working hours TRADING HOURS/MONTH: 0 NATURE OF BUSINESS: Book publishing & general education (seminar, online class etc.) on basic money education such as what 401(k), IRA, mutual funds, stocks are etc. No specific investment advice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Misook 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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

July 20, 2015 - Present

YU FINANCIAL ADVICE, LLC

Office #1: 400 Chesterfield Center Suite 400, Chesterfield, MO 63017

RIA

CRD#: 192517

Chesterfield, MO

Past

August 4, 2014 - March 9, 2015

EDWARD JONES

RIA

CRD#: 250

ELLISVILLE, MO

Past

May 13, 2014 - March 9, 2015

EDWARD JONES

CRD#: 250

ELLISVILLE, MO

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
(4/23/2019)

IAR

Missouri
(7/20/2015)

IAR

Texas
(4/5/2019)

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

IAR

Series 65

Date: 3/31/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/6/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/13/2014

General Securities Representative Examination

Current Firm

YU FINANCIAL ADVICE, LLC

CRD#: 192517 / SEC#:

California

Registered Investment Advisory firm - (4/23/2019 Approved)

Illinois

Registered Investment Advisory firm - (12/31/2018 Terminated)

Missouri

Registered Investment Advisory firm - (7/20/2015 Approved)

Texas

Registered Investment Advisory firm - (4/1/2019 Conditional Restricted)

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).

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Contact information

Main Address

400 Chesterfield Center Suite 400, Chesterfield, MO 63005

Mailing Address

Phone number

(314) 314-5707

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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Misook Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

YU FINANCIAL ADVICE, LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2015

Series 66

Date: 6/6/2014

SIE

Date: 3/9/2015

Series 7

Date: 5/13/2014

Current Firm

YU FINANCIAL ADVICE, LLC

Contact information

Documents

Red Flags

Company Information

YU FINANCIAL ADVICE, LLC

TRUST BUT VERIFY

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