Anna Yu

CERTUITY

San Francisco, CA 94129

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CRD#: 7435583

Professional summary

Anna Yu is a registered financial advisor currently at CERTUITY, LLC located in San Francisco, California.

Anna is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Anna has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Yu's CRS (Customer Relationship Summary).

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

May 19, 2023 - Present

CERTUITY, LLC

Office #1: One Letterman Drive Building B, B7-100, San Francisco, CA 94129

RIA

CRD#: 129505

San Francisco, CA

Past

December 20, 2021 - May 19, 2023

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

Palo Alto, CA

Past

September 18, 2021 - May 19, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

Palo Alto, CA

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".

CERTUITY, LLC

CRD#: 129505 / SEC#: 801-62580

RIA

Registered Investment Advisory firm - (1/2/2004 Approved)

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
(5/19/2023)

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 66

Date: 12/17/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/17/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/15/2019

Securities Industry Essentials Examination

Current Firm

CERTUITY, LLC

CRD#: 129505 / SEC#: 801-62580

RIA

Registered Investment Advisory firm - (1/2/2004 Approved)

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Contact information

Main Address

1295 Us Highway One Third Floor, North Palm Beach, FL 33408

Mailing Address

Phone number

(561) 693-3255

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CERTUITY FORM ADV PART 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts	1,889
AUM (Assets Under Management)	$ 3,100,032,026

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/04/2024	Cover Page	Report
12/22/2023	Cover Page	Report
11/23/2022	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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J.P. MORGAN SECURITIES LLC

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Anna Yu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Yu's CRS (Customer Relationship Summary).

Certified licenses

Experience

CERTUITY, LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

Primary Firm SEC Registration

CERTUITY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/17/2021

Series 7TO

Date: 9/17/2021

SIE

Date: 8/15/2019

Current Firm

CERTUITY, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CERTUITY, LLC

TRUST BUT VERIFY

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