Thomas Yu
Professional Summary
Thomas Yu, who also goes by Tom Yu, is a registered financial advisor currently at ZIONS DIRECT, INC. located in Salt Lake City, Utah. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2024. Thomas has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Yu
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
2 years in the financial services industry
Current & Past Employments
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Current Firm
ZIONS CAPITAL MARKETS | ZIONS INVESTMENT SECURITIES, INC. | ZIONS INVESTMENT SECURITIES, INC | ZIONS DISCOUNT BROKERAGE, INC. | ZIONS DIRECT, INC.
Contact Information
Main Address
One South Main Street, Salt Lake City, UT 84133Mailing Address
One South Main Street 17th Floor, Salt Lake City, UT 84133Phone Number
(801) 844-7843Established
Utah since 02/07/1986Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZIONS BANCORPORATION, N.A. | PARENT COMPANY | — |
| HASH, JENNIFER KYLE | CHIEF COMPLIANCE OFFICER | 4123554 |
| KYRIAKAKIS, CHRISTOPHER | BOARD MEMBER | 8020162 |
| MACDONALD, MICHAEL WHITNEY | PRESIDENT / CHIEF EXECUTIVE OFFICER | 4533843 |
| MOORE, RYAN D | FINOP | 7216248 |
| RICHARDS, ROBERT RYAN | BOARD MEMBER | 8021252 |
| STEWARD, DEREK STRIBLING | BOARD MEMBER | 8022102 |
| YU, THOMAS | BOARD MEMBER | 7994635 |
Disclosures
Regulatory Event
4Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Yu's CRS (Customer Relationship Summary).
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