Yan Yu
Professional Summary
Yan Yu is a registered financial advisor currently at FORVIS MAZARS WEALTH ADVISORS, LLC located in Fort Wayne, Indiana. Yan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Yan has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Current Firm
BKD INVESTMENT ADVISORS LLC | FORVIS WEALTH ADVISORS, LLC | FORVIS PRIVATE CLIENT | FORVIS MAZARS WEALTH ADVISORS, LLC | FORVIS MAZARS WEALTH ADVISORS | FORVIS MAZARS PRIVATE CLIENT | BKDWA | BKDIA | BKD WEALTH ADVISORS, LLC
Contact Information
Main Address
910 East St Louis St, Springfield, MO 65806Phone Number
(417) 831-7283# of Employees
124SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
14,044AUM (Assets Under Management)
$12,005,962,400Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/18/2025 | Cover Page | Report |
| 09/18/2024 | Cover Page | Report |
| 01/23/2024 | Cover Page | Report |
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
Primary Firm SEC Registration
BKD INVESTMENT ADVISORS LLC | FORVIS WEALTH ADVISORS, LLC | FORVIS PRIVATE CLIENT | FORVIS MAZARS WEALTH ADVISORS, LLC | FORVIS MAZARS WEALTH ADVISORS | FORVIS MAZARS PRIVATE CLIENT | BKDWA | BKDIA | BKD WEALTH ADVISORS, LLC
State Registrations and Notice Filings
(1/12/2023)
(1/21/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2017About the Series 6 examSimilar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH
CRS (Client Relationship Summary) - RIA
Click below to view Yan Yu's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
POST OAK PRIVATE WEALTH ADVISORS
HORTER INVESTMENT MANAGEMENT, LLC
TIVERTON WEALTH