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Richard Anthony Yu

Clsa Americas, LLC

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About Richard Anthony Yu

Richard Anthony Yu is a financial advisor with over 30 years of experience in the financial services industry. Richard is currently registered with CLSA Americas, LLC. Richard has also held previous positions at Goldman, Sachs & Co., Peregrine Brokerage Inc., and BT Securities Corporation. Richard is registered in several states as both a broker-dealer and investment advisor.

Firm Information

Richard Yu is currently registered with Clsa Americas, LLC. Clsa Americas, LLC is a Limited Liability Company formed on August 15, 2012. The firm is registered as an investment adviser in 53 states and the District of Columbia. Clsa Americas, LLC provides referrals to others, research product & arrangement and referral services. The firm has 117 clients that are other investment advisers.

Not reported

Assets Under Management

119

Total Clients

11

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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referrals to others; research product & arrangement and referral service

Referrals to others; research product & arrangement and referral service

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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commissions

Earned based on transactions or products sold.

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other

Negotiated rates for research product

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Richard Yu’s Registration & Firm History

NY

01/29/2019 - Present

Clsa Americas, LLC (NEW YORK NY)

NY

05/01/1998 - 05/22/2013

GOLDMAN, SACHS & CO. (NEW YORK NY)

NA

06/21/1994 - 02/05/1998

PEREGRINE BROKERAGE INC.

MD

08/07/1989 - 05/10/1994

BT SECURITIES CORPORATION (BALTIMORE MD)

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Licenses & Designations

BOTH

Issued 12/18/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/24/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/22/1995

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/05/2003

Series 3 - National Commodity Futures Examination

BC

Issued 07/15/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Richard Anthony Yu.
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