Tony Yu

Current Employers

Employment History

• 05/2011 → Present
  Dsg Insurance Services
  West Covina, CA
• 12/2015 → Present
  M Holdings Securities, Inc.
  Portland, OR

Previous Registrations

• 2014-09-16 → 2015-12-11
  Osaic Fs, Inc.
  West Covina, CA
  West Covina, CA
  Canonsburg, PA
• 2003-03-03 → 2008-12-15
  Osaic Fs, Inc.
  West Covina, CA

Other Businesses

1) DSG Insurance Services, Inc.; www.DSGinsbroker.com; 05/2011; President; Property and Casualty Insurance brokerage; Not Investment Related; 50 hours/month; 40 hours/month during business hours; Ownership, Commissions, Profits, Wages/Salary/Tips. 2) DSG Insurance Services, Inc.; 1340 Valley Vista Drive, #200, Diamond Bar, CA 91765; 07/2014; Owner; Offer accident & health insurance , disability insurance, indexed annuities, fixed annuities, health savings accounts, traditional life insurance; Not Investment Related; 130 hours per month; 80 hours/month during trading hours; Ownership, Commissions, Profits, Wages/Salary/Tips. 3) Asian Pacific CPA Association; www.asianCPA.org, 01/2016; President & Board Member; Non-profit trade/networking association for CPAs and professionals; Not Investment Related; 5 hours/month; 3 hours/month during business hours; No Compensation. 4) Taiwanese American Lawyers Association; 4795 Jeffrey Road, #201, Irvine, CA 92618; 07/2016; Board Member; Non-profit trade/networking association for CPAs and professionals; Not Investment Related; 2 hours/month; 1 hour/month during business hours; No Compensation. 5) DSG Business, Tax & Wealth Planning; 2707 East Valley Blvd., #303, West Covina, CA 91792; 03/17/2016; President; General consultation on tax and trust law; Investment Related; 5 hours/month; 5 hours/month during business hours; Wages/Salary/Tips. 6) DSG Wealth & Trust Law; www.DSGtrustlaw.com; 04/18/2016; President; Estate planning law firm; Not Investment Related; 20 hours/month; 20 hours/month during business hours; Wages/Salary/Tips. 7) DSG Family Legacy Insurance Solutions, Inc.; 1340 Valley Vista Drive, #200, Diamond Bar, CA 91765; 11/12/2015; President; Advise clients on insurance and investment products; Investment Related; 160 hours/month; 160 hours/month during business hours; Ownership, Commissions, Profits, Wages/Salary/Tips. 8) SINO AMERIAN CPA ASSOCIATION; POSITION: Secretary and Legal Counsel NATURE: Not for profit community association for CPAs and allied professionals INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2023; ADDRESS: 18725 E Gale Ave, Suite 250, City of Industry CA 91748, United States; DESCRIPTION: Take minutes and discuss association procedures and protocols 9) Wealth & Harmony Family Office; 1340 Valley Vista Dr. #200, Diamond Bar CA 91765; Family Office Services; Not Investment Related; President; Attorney, CPA and CFP, Trustee; 2/13/2023; 10 hours per month; 10 hours per month during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-01-30
• S63 Uniform Securities Agent State Law Examination
  1997-08-12

Designations