RY
Raymond C. Yau
FORTHRIGHT CAPITAL ADVISORY
San Diego, CA
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CRD#: 7802363
RY
Professional summary
Raymond Chi Wang Yau, who also goes by Raymond Chi Wang Yau, is a registered financial advisor currently at FORTHRIGHT CAPITAL ADVISORY located in San Diego, California.
Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Raymond has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond Chi Wang Yau
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.
XMvisuals LLC DBA FASTSIGNS, non-investment related, 12285 World Trade Dr Suite H San Diego, CA, 92128 United States, Marketing Director, Owner, Start Date 05/2019, 10 hours per month and 0 during securities trading hours, Responsible for marketing strategy for print and signage . Self-Employed, non-investment related, 13548 Sydney Rae PL San Diego CA 92129, Owner, Landlord, Start Date 05/2013, 2 hours per month and 0 during securities trading hours, maintenance of a rental property. Forthright Capital Partners, LLC, investment related, 7251 W Lake Mead Blvd, Ste 300, Las Vegas, NV 89128, Insurance Agency, Insurance Agent, Start Date 02/2025, 80 hours per month and 60 during securities trading hours, Solicitation of individual life insurance and fixed annuity products to consumers.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Chi Wang Yau'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
February 25, 2025 - Present
FORTHRIGHT CAPITAL ADVISORY
RIA
CRD#: 323596
San Diego, CA
Past
August 6, 2024 - December 5, 2024
FORTHRIGHT CAPITAL ADVISORY
RIA
CRD#: 323596
San Diego, CA
Past
April 22, 2024 - September 5, 2024
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
FORT WORTH, TX
Past
February 20, 2024 - September 5, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
SAN DIEGO, 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".
FC
FORTHRIGHT CAPITAL ADVISORY
BERKOWITZ CAPITAL LLC | TEACHERS' PATH FINANCIAL PLANNING | SMITH'S WEALTH MANAGEMENT | ROWDEN FINANCIAL | RETIRE LAB LLC | PIRSOS INVESTMENT ADVISORY | FORTHRIGHT CAPITAL ADVISORY LLC | FORTHRIGHT CAPITAL ADVISORY
CRD#: 323596 / SEC#: 801-128191
RIA
Registered Investment Advisory firm - (7/25/2023 Approved)Nevada
Registered Investment Advisory firm - (9/29/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/14/2023 Terminated)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(2/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/20/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
FC
FORTHRIGHT CAPITAL ADVISORY
BERKOWITZ CAPITAL LLC | TEACHERS' PATH FINANCIAL PLANNING | SMITH'S WEALTH MANAGEMENT | ROWDEN FINANCIAL | RETIRE LAB LLC | PIRSOS INVESTMENT ADVISORY | FORTHRIGHT CAPITAL ADVISORY LLC | FORTHRIGHT CAPITAL ADVISORY
CRD#: 323596 / SEC#: 801-128191
RIA
Registered Investment Advisory firm - (7/25/2023 Approved)Nevada
Registered Investment Advisory firm - (9/29/2023 Terminated)Ohio
Registered Investment Advisory firm - (9/14/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7251 W Lake Mead Blvd, Ste 300, Las Vegas, NV 89128
Mailing Address
Phone number
(725) 712-3016
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 882 |
| AUM (Assets Under Management) | $ 64,985,533 |
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.
