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Deanna W Yu

First Citizens Investor Services, Inc.

Pasadena, CA

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Current Employers
First Citizens Investor Services, Inc.

8540 Colonnade Center Drive, Raleigh, NC 27615-3052 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-05-22
  • CA RA
    APPROVED
    Since 2024-05-22

Branch Locations

75 N. Fair Oaks Ave Suite 400, Pasadena, CA 91103 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena CA 08/2014 09/2017
Bancwest Investment Services Pasadena CA 09/2017 03/2020
Bank Of The West Pasadena CA 09/2017 03/2020
Unemployed Unemployed CA 03/2020 07/2020
Citigroup Los Angeles CA 07/2020 04/2024
First Citizens Investor Services Raleigh NC 05/2024 Present
First Citizens Bank Pasadena CA 05/2024 Present
  • 08/2014 → 09/2017
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Pasadena, CA
  • 09/2017 → 03/2020
    Bancwest Investment Services
    Pasadena, CA
  • 09/2017 → 03/2020
    Bank Of The West
    Pasadena, CA
  • 03/2020 → 07/2020
    Unemployed
    Unemployed, CA
  • 07/2020 → 04/2024
    Citigroup
    Los Angeles, CA
  • 05/2024 → Present
    First Citizens Investor Services
    Raleigh, NC
  • 05/2024 → Present
    First Citizens Bank
    Pasadena, CA
Previous Registrations
  • 2020-09-08 → 2024-05-17
    Citigroup Global Markets Inc.
    Los Angeles, CA
  • 2017-09-28 → 2020-01-23
    Bancwest Investment Services, Inc.
    San Marino, CA
    Huntington Beach, CA
    Westminster, CA
    Pasadena, CA
    Pasadena, CA
  • 2010-04-05 → 2017-11-21
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Pasadena, CA
    Pasadena, CA
    New York, NY
    Los Angeles, CA
    Los Angeles, CA
    Pasadena, CA
    South Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
  • 2006-08-11 → 2009-04-28
    Banc Of America Investment Services, Inc.
    Glendale, CA
  • 2005-12-02 → 2006-04-19
    M.L. Stern & Co., Llc.
    Henderson, NV
    Henderson, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-12-01
S63 Uniform Securities Agent State Law Examination 2005-11-03
  • S66 Uniform Combined State Law Examination
    2005-12-01
  • S63 Uniform Securities Agent State Law Examination
    2005-11-03
Other Names
  • Deanna Yu

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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