Tony Yu
Tony Yu is a CFP, ChFC-designated registered investment advisor at M Holdings Securities, INC., based in West Covina, CA, with 26 years of industry experience. Tony operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Retirement Planning. Their firm serves 3,621 clients with $4.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
M Holdings Securities offers various investment management programs with different fee structures. Some programs have wrap fees that cover advisory, brokerage, and custodial services in one fee. Other programs charge advisory fees separately from brokerage and other costs. Fees are negotiable with your financial professional and vary depending on the program chosen and the amount of assets managed. The maximum fee for WealthPursuit Wrap Fee Programs is limited to 3%. MPP Wrap Program fees will not exceed 1.36% for accounts with at least $150,000 in assets. WealthPursuit Prime fees are limited to a maximum rate of 3%.
Location
2707 E. Valley Blvd. #303, West Covina, CA, 91792
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Tony is the president of multiple entities, including DSG Insurance Services, Inc. where he brokers property and casualty insurance, and DSG Family Legacy Insurance Solutions, Inc. where he advises clients on insurance and investment products; these activities take up a significant amount of his time. He also holds leadership positions in several non-profit organizations and professional associations, and runs a tax and trust law consultation business and an estate planning law firm.
Employment History
Current Registrations
M Holdings Securities, INC.
M Holdings Securities, INC.
M Holdings Securities, INC.Broker
Previous Registrations
Lincoln Financial Securities CorporationBroker
Lincoln Financial Securities Corporation
J.K. Financial Services, INC.Broker
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
J.K. Financial Services, INC.Broker
Midwest Discount Brokers INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.