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Jeffrey Yu

Wells Fargo Securities, LLC

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About Jeffrey Yu

Jeffrey Yu is a financial professional with over 20 years of experience in the industry. Jeffrey is currently registered with Wells Fargo Securities, LLC and holds Series 7, 24, 63, 99TO, and SIE licenses. Jeffrey is a registered principal and has experience in a variety of financial services, including investments, operations, and compliance. Jeffrey has worked for a number of well-known firms, including BNP Paribas Securities Corp., UBS Securities LLC, and Nomura Securities International, Inc. Jeffrey is licensed in all 50 states and Puerto Rico.

Firm Information

Jeffrey Yu is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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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Jeffrey Yu’s Registration & Firm History

NC

10/06/2015 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

NY

03/19/2013 - 08/11/2015

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

CT

05/18/2006 - 03/15/2013

UBS SECURITIES LLC (STAMFORD CT)

NY

07/09/2001 - 05/11/2006

NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/15/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/18/2021

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/07/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Jeffrey Yu.
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