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Detailed Report
JOHN J YU
JOHN JEE WOO YU
CRD#: 4528686
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 500 ALA MOANA BLVD
SUITE 3-400
HONOLULU, HI 96813
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2005 (3 years)IAPARK AVENUE SECURITIES LLC (CRD# 46173)2019 - Present (5 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2014 - Present (11 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2005 - 2014 (8 years)
License(s)

State Registrations

B
California 3/19/2014
B
Oregon 7/11/2022
IA
California 8/28/2019
IA
Oregon 7/11/2022
B
Hawaii 3/19/2014
B
Texas 1/17/2023
IA
Hawaii 8/21/2019
IA
Texas 1/18/2023
B
Maryland 7/16/2021
B
Washington 11/21/2016
IA
Maryland 7/16/2021
IA
Washington 3/31/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
500 ALA MOANA BLVD SUITE 3-400, HONOLULU, HI 96813
Registered with this firm since 8/21/2019
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
500 ALA MOANA BLVD SUITE 3-400, HONOLULU, HI 96813
Registered with this firm since 3/19/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/25/2005 - 02/26/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) HONOLULU, HI
B
 05/20/2002 - 06/28/2005 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) FORT WAYNE, IN
B
 05/20/2002 - 06/28/2005 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580) FORT WAYNE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.