Jae Yu

Current Employers

Employment History

• 08/2012 → 02/2019
  Pershing Llc
  Torrance, CA
• 08/2012 → 03/2019
  Lockwood Advisors, Inc.
  Torrance, CA
• 05/2019 → 10/2020
  Bancwest Investment Services, Inc.
  Newport Beach, CA
• 05/2019 → 10/2020
  Bank Of The West
  Newport Beach, CA
• 10/2020 → 08/2023
  Royal Alliance Associates, Inc.
  Los Angeles, CA
• 10/2020 → Present
  Seia Llc
  Los Angeles, CA
• 10/2020 → Present
  Sia Llc
  Los Angeles, CA
• 01/2024 → Present
  Ses Inc.
  Los Angeles, CA

Previous Registrations

• 2020-10-14 → 2021-05-12
  Seia
  Los Angeles, CA
• 2019-05-07 → 2020-10-15
  Bancwest Investment Services, Inc.
  Newport Beach, CA
• 2007-11-21 → 2019-03-01
  Bny Mellon Advisors, Inc.
  New York, NY
  Torrance, CA
• 2006-07-10 → 2007-10-29
  Charles Schwab & Co., Inc.
  Los Angeles, CA

Other Businesses

1) SEIA/SIA POSITION: Product Wholesaler NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 10/12/2020 ADDRESS: 2121 Avenue of the Stars, Los Angeles CA 90067, United States DESCRIPTION: product wholesaler for SIA model solutions 2) J & J YU PROPERTIES, LLC POSITION: Owner NATURE: LLC established to own rental property INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 3712 Michelle Dr., Torrance CA 90503, United States DESCRIPTION: own rental property

Exams

• S66 Uniform Combined State Law Examination
  2009-07-20
• S65 Uniform Investment Adviser Law Examination
  1999-07-02
• S63 Uniform Securities Agent State Law Examination
  1996-11-19

Other Names

• Jae Ho Yu
• Jae H Yu