Charles Yu

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CRD#: 6374133

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.

Charles Yu, who also goes by Charles Yong Bek Yu, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2016. Charles had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Yong Bek 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.

NAME OF ENTITY:Korean American Coalition of Oregon; No; 3105 SW BENNINGTON DR; PORTLAND; OR; 97205; Work with existing community organizations and partners to fulfill mission and representation of Korean Americans; Vice President; 5/13/2017; 1; 0; Attend board meetings, step in for President if they are unable to attend| KOREAN AMERICAN COALITION OF OREGON POSITION: Board Member NATURE: Work with existing community organizations and partners to fulfill mission and representation of Korean Americans INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/13/2017 ADDRESS: 3105 SW BENNINGTON DR, PORTLAND OR 97205, United States DESCRIPTION: Attendmonthly board meetings and plan socials.

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

February 13, 2024 - October 9, 2025

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

February 12, 2024 - October 9, 2025

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

July 26, 2022 - January 26, 2024

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Wilsonville, OR

Past

June 14, 2022 - January 26, 2024

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Portland, OR

Past

June 13, 2022 - January 26, 2024

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Portland, OR

Past

November 24, 2021 - April 11, 2022

TRIAD ADVISORS LLC

CRD#: 25803

Portland, OR

Past

September 22, 2021 - April 11, 2022

ONEDIGITAL

RIA

CRD#: 106766

Portland, OR

Past

October 9, 2018 - September 7, 2021

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

WILSONVILLE, OR

Past

September 7, 2017 - September 7, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Portland, OR

Past

May 9, 2016 - September 1, 2017

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

BEAVERTON, OR

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".

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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.

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: 5/31/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/19/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/7/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/9/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

CRD#: 142373 / SEC#: 801-52664

RIA

Registered Investment Advisory firm - (8/30/1996 Approved)

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Contact information

Main Address

One Nationwide Plaza 03-07-202, Columbus, OH 43215

Mailing Address

Phone number

(614) 435-8371

Established

Firm type

Fiscal year end

# of Employees

417

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NIA FORM ADV PART 2A BROCHURE (7/8/2025)

Regulatory assets under management

Total Number of Accounts	270,365
AUM (Assets Under Management)	$ 15,686,000,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/25/2024	Cover Page	Report
01/26/2024	Cover Page	Report
10/26/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Charles Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

VOYA RETIREMENT ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

TRIAD ADVISORS LLC

ONEDIGITAL

VOYA RETIREMENT ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NATIONWIDE INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/31/2018

Series 63

Date: 5/19/2016

Series 7TO

Date: 12/7/2020

SIE

Date: 10/1/2018

Series 6

Date: 5/9/2016

Current Firm

NATIONWIDE INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NATIONWIDE INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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