Yun-Yu Szu is a registered investment advisor, based in San Diego, CA, with 9 years of industry experience.
Location
16399 W Bernardo Dr, San Diego, CA, 92127
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
April 2025 - Present · 1 yr 1 mo
Raymond James Financial Services Advisors, INC
April 2025 - Present · 1 yr 1 mo
Previous Registrations
Western International Securities, INC.Broker
September 2022 - April 2025 · 2 yrs 7 mos
Scf Securities, INC.Broker
September 2022 - April 2025 · 2 yrs 7 mos
Next Financial Group, INC.Broker
September 2022 - April 2025 · 2 yrs 7 mos
Cadaret, Grant & CO., INC.Broker
September 2022 - April 2025 · 2 yrs 7 mos
Sorrento Pacific Financial, LLCBroker
August 2021 - April 2025 · 3 yrs 8 mos
Cuso Financial Services, L.P.Broker
August 2021 - April 2025 · 3 yrs 8 mos
Cuso Financial Services, L.P.
August 2021 - April 2025 · 3 yrs 8 mos
Strategic Wealth Advisors Group
May 2021 - September 2021 · 4 mos
LPL Financial LLCBroker
April 2021 - August 2021 · 4 mos
Sorrento Pacific Financial, LLC
February 2019 - April 2021 · 2 yrs 2 mos
Sorrento Pacific Financial, LLCBroker
February 2019 - April 2021 · 2 yrs 2 mos
Cuso Financial Services, L.P.
August 2018 - April 2021 · 2 yrs 8 mos
Cuso Financial Services, L.P.Broker
March 2018 - April 2021 · 3 yrs 1 mo
LPL Financial LLCBroker
January 2017 - March 2018 · 1 yr 2 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.