Tony Yu is a registered investment advisor at Cetera Investment Advisers LLC, based in Houston, TX, with 13 years of industry experience. Tony operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
9600 Bellaire Blvd, Houston, TX, 77036
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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
Cetera Investment Advisers LLC
May 2018 - Present · 8 yrs
Cetera Investment Services LLCBroker
May 2018 - Present · 8 yrs
Previous Registrations
J.P. Morgan Securities LLC
March 2015 - May 2018 · 3 yrs 2 mos
J.P. Morgan Securities LLCBroker
October 2012 - May 2018 · 5 yrs 7 mos
Chase Investment Services CORP.Broker
September 2012 - October 2012 · 1 mo
State Registrations3 states
FLPATX
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.