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Detailed Report
SHARON YU
CHIAHUA YU
CRD#: 4790242
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 6360 IRVINE BLVD
IRVINE, CA 92620
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2010 (2 years)2 FIRMS2011 - 2015 (3 years)2 FIRMS2015 - 2018 (3 years)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
California 6/1/2018
B
Massachusetts 11/7/2022
IA
California 6/4/2018
B
New York 6/1/2018
B
Georgia 3/14/2024
B
Texas 10/24/2023
IA
Idaho 4/5/2019
IA
Texas 10/24/2023
B
Idaho 2/16/2024
B
Washington 3/11/2025

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
6360 IRVINE BLVD, IRVINE, CA 92620
14211 JEFFREY RD, IRVINE, CA 92620
Registered with this firm since 6/2/2018
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
6360 IRVINE BLVD, IRVINE, CA 92620
14211 JEFFREY RD, IRVINE, CA 92620
Registered with this firm since 6/1/2018
Previous Registration(s)
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IA
 05/06/2015 - 06/13/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) IRVINE, CA
B
 05/06/2015 - 06/13/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) IRVINE, CA
IA
 11/01/2011 - 04/27/2015 ROTH CAPITAL PARTNERS, LLC (CRD#:15407) NEWPORT BEACH, CA
B
 11/01/2011 - 04/27/2015 ROTH CAPITAL PARTNERS, LLC (CRD#:15407) NEWPORT BEACH, CA
IA
 04/18/2008 - 09/23/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) NEWPORT BEACH, CA
B
 01/23/2008 - 09/23/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTLAKE VILLAGE, CA
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.