Kim B Tu
Professional Summary
Kim B Tu, who also goes by Kim H Pham, is a registered financial advisor currently at WULFF, HANSEN & CO. located in San Rafael, California and BAYRIDGE SECURITIES, LLC located in San Francisco, California. Kim is registered as a RR (Registered Representative) and started their career in finance in 1990. Kim has worked at 14 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kim H Pham
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
BAYRIDGE SECURITIES, LLC
Contact Information
Main Address
535 Mission St 1542, San Francisco, CA 94105Mailing Address
535 Mission St 1542, San Francisco, CA 94105Phone Number
(415) 295-4785Established
Delaware since 10/07/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Aug 1991SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kim B Tu's CRS (Customer Relationship Summary).
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