David C. Yu
Professional summary
David Chen Yu was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, David had worked at 6 firms, which includes QUEST CAPITAL STRATEGIES INC., SENTRA SECURITIES CORPORATION, CADARET GRANT & CO. INC., INDEPENDENT FINANCIAL PLANNERS CORPORATION, SIGNATOR INVESTORS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2004 - November 18, 2008
QUEST CAPITAL STRATEGIES, INC.
May 13, 1986 - October 3, 2002
QUEST CAPITAL STRATEGIES, INC.
January 18, 1984 - October 15, 1986
SENTRA SECURITIES CORPORATION
September 2, 1982 - January 18, 1984
CADARET, GRANT & CO., INC.
December 18, 1981 - January 18, 1984
INDEPENDENT FINANCIAL PLANNERS CORPORATION
July 9, 1981 - August 4, 1986
SIGNATOR INVESTORS, INC.
July 9, 1981 - August 5, 1986
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
