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David Ying-kit Yu

Charles Schwab & CO., Inc.

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About David Ying-kit Yu

David Ying-kit Yu is a financial advisor in Redwood City, California. David has been in the industry since December 1997. He is currently employed by Charles Schwab & CO., Inc. and has been with the firm since July 1998. Prior to his time at Charles Schwab, David was employed by SMITH BARNEY INC. in NEW YORK, NY. David specializes in providing financial planning and advisory services. He has been active in the financial industry for over 20 years and holds both Series 63 and 65 licenses.

Firm Information

David Yu is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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David Yu’s Registration & Firm History

CA

01/25/1999 - Present

Charles Schwab & CO., Inc. (Redwood City CA)

NY

07/16/1997 - 07/28/1998

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/19/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for David Ying-kit Yu.
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