Cheri Yu

Compliance Supervisor

(650) 445-0471 | cheri@fsnweb.com

Cheri serves as Compliance Supervisor with The Financial Services Network’s Hybrid RIA.  In this role, Cheri reports directly to the Chief Compliance Officer (CCO) regarding issues related to The Network’s Hybrid RIA. Her responsibilities include reviewing advisor paperwork, emails, advertising, correspondence and blotters, as well as ensuring that the RIA meets all regulatory standards.

Cheri joined the financial services industry in 1996 with Charles Schwab in San Francisco. After six years with Schwab, she took a role with Citigroup in Southern California. In 2007, Cheri relocated back to the Bay Area to join the Sales Practice Team at The Network. Her strong background in investment compliance, advisor support and training enables Cheri to provide solutions to a wide range of issues arising from our financial advisors and their clients. She is results driven and believes a strong liaison with the broker-dealer is critical to our advisors’ success.

Cheri lives in Northern California with her husband and two children. After work, she enjoys spending time with her kids and can occasionally be found doing a little dancing.

Education

  • Degree in Paralegal Studies, University of San Francisco

Professional Qualifications

  • FINRA Series 7: General Securities Representative Examination
  • FINRA Series 9 and 10: General Securities Sales Supervisor Qualification Examination
  • FINRA Series 63: NASAA Uniform Securities State Law Examination
  • FINRA Series 65: NASAA Investment Advisors Law Examination
  • Licensed to sell insurance in the state of California.