NORMAN L. YU & COMPANY, INC.
CRD #106642 SEC #801-5773 NEWPORT BEACH, CA 949-720-3993
SEC Registered
Total AUM
$9.8M
Discretionary
$9.8M
Employees
5
Clients
--
Accounts
87
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 26, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| YU, MARK, VICTOR | I | VICE PRESIDENT | NA | Control |
| YU, MARK, VICTOR | I | VICE PRESIDENT | NA | Control |
| YU, MARK, VICTOR | I | VICE PRESIDENT | NA | Control |
| YU, NORMAN, LUNGSUN | I | PRESIDENT | E | Control |
| YU, NORMAN, LUNGSUN | I | PRESIDENT | E | Control |
| YU, NORMAN, LUNGSUN | I | PRESIDENT | E | Control |
Registrations
Federal
IA
Mar 26, 2002 REGISTERED
Notice Filings (2)
CA NE
Address
23 CORPORATE PLAZA, STE 215NEWPORT BEACH, CA 92660
USA
Phone: 949-720-3993