JY
Jeri R. Yu
ARES MANAGEMENT CAPITAL MARKETS LLC
LOS ANGELES, CA 90067
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CRD#: 7359242
JY
Professional summary
Jeri Raizel Yu, who also goes by Raizel Yu, Jeri Raizel Tan Yu, Jeri Raizel Tan Yu, is a registered financial professional currently at ARES MANAGEMENT CAPITAL MARKETS LLC located in Los Angeles, California.
Jeri is registered as a RR (Registered Representative) and started their career in finance in 2022. Jeri has worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Raizel Yu | Jeri Raizel Tan Yu | Jeri Raizel Tan 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Jeri Raizel 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®
NoneExperience
Current
April 9, 2025 - Present
ARES MANAGEMENT CAPITAL MARKETS LLC
Office #1: 1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067BD
CRD#: 166219
LOS ANGELES, CA
Past
August 5, 2022 - December 1, 2023
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/11/2025)
RR
Alaska(8/11/2025)
RR
Arizona(8/11/2025)
RR
Arkansas(8/11/2025)
RR
California(8/1/2025)
RR
Colorado(8/11/2025)
RR
Connecticut(8/11/2025)
RR
Delaware(8/11/2025)
RR
District of Columbia(8/11/2025)
RR
Florida(8/11/2025)
RR
Georgia(8/11/2025)
RR
Hawaii(8/11/2025)
RR
Idaho(8/11/2025)
RR
Illinois(8/11/2025)
RR
Indiana(8/11/2025)
RR
Iowa(8/11/2025)
RR
Kansas(8/11/2025)
RR
Kentucky(8/11/2025)
RR
Louisiana(8/11/2025)
RR
Maine(8/11/2025)
RR
Maryland(8/11/2025)
RR
Massachusetts(8/11/2025)
RR
Michigan(8/11/2025)
RR
Minnesota(8/11/2025)
RR
Mississippi(8/11/2025)
RR
Missouri(8/11/2025)
RR
Montana(8/11/2025)
RR
Nebraska(8/11/2025)
RR
Nevada(8/11/2025)
RR
New Hampshire(8/11/2025)
RR
New Jersey(8/11/2025)
RR
New Mexico(8/11/2025)
RR
New York(8/11/2025)
RR
North Carolina(8/11/2025)
RR
North Dakota(8/11/2025)
RR
Ohio(8/12/2025)
RR
Oklahoma(8/11/2025)
RR
Oregon(8/11/2025)
RR
Pennsylvania(8/11/2025)
RR
Rhode Island(8/11/2025)
RR
South Carolina(8/11/2025)
RR
South Dakota(8/11/2025)
RR
Tennessee(8/11/2025)
RR
Texas(8/11/2025)
RR
Utah(8/11/2025)
RR
Vermont(8/11/2025)
RR
Virginia(8/11/2025)
RR
Washington(8/11/2025)
RR
West Virginia(8/11/2025)
RR
Wisconsin(8/11/2025)
RR
Wyoming(8/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/8/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 8/5/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AM
ARES MANAGEMENT CAPITAL MARKETS LLC
ARES INVESTOR SERVICES LLC | ARES MANAGEMENT CAPITAL MARKETS LLC
CRD#: 166219 / SEC#: , 8-69194
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Mailing Address
1800 Avenue Of The Stars Suite 1400, Los Angeles, CA 90067
Phone number
(310) 432-8708
Established
Delaware since 01/20/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
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.
