Yang Gao

IFMGROUP

MONROVIA, CA 91016

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CRD#: 6587058

Professional summary

Yang Gao is a registered financial advisor currently at IFMGROUP located in Monrovia, California.

Yang is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Yang has worked at 1 firm and has passed the Series 65 exam.

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.

the name of the other business: Transpacific whether the business is investment-related: NO the address of the other business: 185 West Chestnut Ave, Monrovia, CA 91016 the nature of the other business: Life Insurance your position: Insurance Agent title, or relationship with the other business: contractor, part time the start date of your relationship: April 1, 2017 the approximate number of hours/month you devote to the other business:12 hours per month the number of hours you devote to the other business during securities trading hours: None and briefly describe your duties relating to the other business: I'm an independent insurance agent affiliated with Transpacific as my insurance broker. I assist potential buyers in evaluating and selecting suitable life and annuity products based on their needs. My responsibilities include preparing and submitting policy applications to insurance carriers and follow up on underwriting and policy issuance processes. insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yang Gao'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®

None

Experience

Current

February 7, 2025 - Present

IFMGROUP

Office #1: 185 W Chestnut Ave, Monrovia, CA 91016

RIA

CRD#: 143632

MONROVIA, CA

Past

November 11, 2021 - December 31, 2024

IFMGROUP

RIA

CRD#: 143632

monrovia, CA

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
(2/7/2025)

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: 11/13/2019

Uniform Investment Adviser Law Examination

Current Firm

IFMGROUP

IFMGROUP | INVESTMENT & FINANCIAL MANAGEMENT GROUP LLC

CRD#: 143632 / SEC#: 801-67873

RIA

Registered Investment Advisory firm - (1/11/2008 Terminated)

California

Registered Investment Advisory firm - (2/7/2025 Approved)

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

185 W Chestnut Ave, Monrovia, CA 91016

Mailing Address

Pobox660441, Arcadia, CA 91066

Phone number

(626) 552-9688

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 4,000,000

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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Yang Gao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yang Gao's CRS (Customer Relationship Summary).

Certified licenses

Experience

IFMGROUP

IFMGROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2019

Current Firm

IFMGROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

IFMGROUP

TRUST BUT VERIFY

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