Hons Man Yu

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2006 → 06/2019
  Foresters Financial Services
  North Haven, CT
• 03/2015 → 06/2019
  Foresters Advisory Services
  North Haven, CT
• 06/2019 → 07/2024
  Cetera Investment Advisers Llc
  North Haven, CT
• 06/2019 → 07/2024
  Cetera Investment Services Llc
  St. Cloud, MN
• 07/2024 → Present
  Lpl Financial Llc
  North Haven, CT

Previous Registrations

• 2019-06-19 → 2024-07-29
  Cetera Investment Advisers Llc
  North Haven, CT
• 2015-03-31 → 2019-06-24
  Foresters Advisory Services, Llc
  North Haven, CT

Other Businesses

1) 05/29/2024 - Soundway Financial - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 200 Hours per month. 2) 10/31/2024 - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 08/13/2024 - 15 Hours Per Month/ 3 Hours during Trading

Exams

• S66 Uniform Combined State Law Examination
  2015-03-18
• S63 Uniform Securities Agent State Law Examination
  2006-02-27

Designations

• Certified Financial Planner

Other Names

• Man Hon Yu