Jue-hua Rae Yau

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
OR	RA	APPROVED	2025-07-10
TX	RA	APPROVED_RES	2025-07-10

OR RA
APPROVED

Since 2025-07-10
TX RA
APPROVED_RES

Since 2025-07-10

Branch Locations

Happy Valley, OR • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Edward Jones	St Louis	MO	04/2009	05/2020
Cadaret, Grant & Co., Inc.	Happy Valley	OR	07/2020	07/2025
Lpl Financial Llc	Happy Valley	OR	07/2025	Present

04/2009 → 05/2020

Edward Jones

St Louis, MO
07/2020 → 07/2025

Cadaret, Grant & Co., Inc.

Happy Valley, OR
07/2025 → Present

Lpl Financial Llc

Happy Valley, OR

Previous Registrations

2020-08-06 → 2025-07-10

Cadaret, Grant & Co., Inc.

Happy Valley, OR

Syracuse, NY

Syracuse, NY

Syracuse, NY

Syracuse, NY

Syracuse, NY
2009-07-20 → 2020-05-29

Edward Jones

St Louis, MO

Happy Valley, OR

Milwaukie, OR

Happy Valley, OR

Other Businesses

1. 07/2025 - Holistic Financial Solutions with Rae Yau - DBA for LPL Business (entity for LPL business) - Happy Valley, OR - INV REL - Start Date 07/20/2020 - 160hrs/mth | 100hrs during trading 2. 07/2025 - Jue-Hua Rae Yau - Non-Variable Insurance - Happy Valley, OR - INV REL - Start Date 08/20/2020 - 160hrs/mth | 100hrs during trading 3. 07/2025 - Te-Lin Yau & Jue-Hua Yau - Real Estate Rental - Corvallis, OR - INV REL - Start Date 09/25/1982 - 1hr/mth | 0hrs during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-07-17

S66 Uniform Combined State Law Examination

2009-07-17

Other Names

Jue-Hua J Tsai
Rae Yau
Jue Hua Rae Yau

View on SEC IAPD