Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sharon? Claim Your ProfileSharon Yu is a financial advisor in Irvine, CA with over 13 years of experience. Sharon works with individual investors, high-net-worth individuals, and businesses to develop financial plans, select investments and manage investment portfolios. Sharon has been registered with Wells Fargo Clearing Services, LLC since June 2018. Prior to that, Sharon was registered with HSBC Securities (USA) Inc. and Roth Capital Partners, LLC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/24/2023 - Present
Wells Fargo Clearing Services, LLC (IRVINE CA)
CA
05/06/2015 - 06/13/2018
HSBC SECURITIES (USA) INC. (IRVINE CA)
CA
11/01/2011 - 04/27/2015
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
CA
01/23/2008 - 09/23/2010
UBS FINANCIAL SERVICES INC. (WESTLAKE VILLAGE CA)
BOTH
Issued 04/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/25/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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