Yun-Yu Szu
Investment Adviser Representative at Raymond James Financial Services Advisors, Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Yun-Yu Szu is an investment adviser representative with Raymond James Financial Services Advisors, Inc in San Diego, CA, where they have been registered since 2025. They have worked in the securities industry since 2017 and have been registered with 4 firms, including CUSO Financial Services, L.P. and Strategic Wealth Advisors Group. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- LPL FinancialMay 2006 – Mar 2018San Diego, CA
- CUSO Financial Services, LPMar 2018 – Apr 2021San Diego, CA
- Sorrento Pacific Financial, LLCFeb 2019 – Apr 2021San Diego, CA
- LPL Financial, LLCApr 2021 – Aug 2021Poway, CA
- Strategic Wealth Advisors GroupMay 2021 – Aug 2021Poway, CA
- CUSO Financial Services, LPAug 2021 – Apr 2025San Diego, CA
- Sorrento Pacifici Fianacial LLCAug 2021 – Apr 2025San Diego, CA
- Western International Securities IncSep 2022 – Apr 2025Pasadenda, CA
- SCF SecuritiesSep 2022 – Apr 2025San Diego, CA
- Next Financial Group IncSep 2022 – Apr 2025Houston, TX
- Cadaret, Grant, & Co. IncSep 2022 – Apr 2025Syracuse, CA
- Raymond James Financial Services, Inc.Apr 2025 – no end date reportedSan Diego, CA
- Raymond James Financial Services Advisors, Inc.Apr 2025 – no end date reportedSan Diego, CA
- First Tech Federal Credit UnionApr 2025 – no end date reportedSan Diego, CA
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Raymond James Financial Services Advisors, Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 6,660
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Saint Petersburg, FL
- SEC file number:
- 801-69815
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at Raymond James Financial Services Advisors, Inc
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Yun-Yu Szu has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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