Kim B. Tu

WULFF, HANSEN & CO.

San Rafael, CA 94903

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CRD#: 2047262

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.

Kim is registered as a RR (Registered Representative) and started their career in finance in 1990. Kim has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 8, Series 14, Series 4 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kim H Pham

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kim B Tu's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 29, 2019 - Present

WULFF, HANSEN & CO.

Office #1: 100 Smith Ranch Road, Suite 330, San Rafael, CA 94903

RIA

CRD#: 908

San Rafael, CA

Past

June 15, 2021 - October 28, 2022

FUTU CLEARING INC

CRD#: 298769

DALLAS, TX

Past

June 15, 2021 - May 2, 2024

MOOMOO FINANCIAL INC.

CRD#: 283078

JERSEY CITY, NJ

Past

November 3, 2015 - September 5, 2017

LOYAL3 SECURITIES INC.

CRD#: 6380

SAN FRANCISCO, CA

Past

March 12, 2012 - January 26, 2015

MERRIMAN WEALTH ADVISORS

RIA

CRD#: 158605

SAN FRANCISCO, CA

Past

January 23, 2012 - July 2, 2015

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

February 17, 2011 - May 17, 2011

STERNE, AGEE & LEACH, INC.

CRD#: 791

SAN FRANCISCO, CA

Past

November 19, 2003 - February 14, 2011

NOLLENBERGER CAPITAL PARTNERS INC.

CRD#: 119248

SAN FRANCISCO, CA

Past

May 22, 2001 - August 26, 2004

REDWOOD SECURITIES GROUP, INC.

CRD#: 27536

SAN FRANCISCO, CA

Past

October 27, 2000 - March 9, 2001

SOUNDVIEW TECHNOLOGY CORPORATION

CRD#: 15425

OLD GREENWICH, CT

Past

May 5, 2000 - November 7, 2000

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

November 5, 1992 - October 15, 1999

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

May 16, 1990 - November 13, 1992

HENRY F. SWIFT & CO.

CRD#: 3548

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/6/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 9/5/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/22/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 8/20/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 14

Date: 8/25/1990

Compliance Officer Examination

Principal/Supervisory Exam

Series 4

Date: 7/2/1990

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 5/14/1990

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

WULFF, HANSEN & CO.

WULFF CAPITAL MANAGEMENT | WULFF, HANSEN & CO.

CRD#: 908 / SEC#: 801-126111, 8-292

RIA

Registered Investment Advisory firm - SEC (7/15/2022 Approved)

California

Registered Investment Advisory firm - SEC (8/17/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/18/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

100 Smith Ranch Road, Suite 330 Suite 330, San Rafael, CA 94903

Mailing Address

100 Smith Ranch Road, Suite 330, San Rafael, CA 94903

Phone number

(415) 421-8900

Established

California since 12/28/1931

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WULFF CAPITAL MANAGEMENT (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
CHARLES, CHRISTOPHER DONALD	PRESIDENT, CCO CHIEF COMPLIANCE OFFICER	709131
PANKRATZ, ROBERT JOHN	MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT	6911222
STEINKAMP, DENNIS HENRY	SENIOR VICE PRESIDENT	1356304
TU, KIM B	CFO/POO FOR REGULATORY PURPOSES ONLY	2047262

Regulatory assets under management

Total Number of Accounts	138
AUM (Assets Under Management)	$ 132,528,477

Disclosures

Regulatory Event	4
Bond	1

Red Flags

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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Firm Stability Insights

Kim B. Tu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kim B Tu's CRS (Customer Relationship Summary).

Certified licenses

Experience

FUTU CLEARING INC

MOOMOO FINANCIAL INC.

LOYAL3 SECURITIES INC.

MERRIMAN WEALTH ADVISORS

MERRIMAN CAPITAL, INC.

STERNE, AGEE & LEACH, INC.

NOLLENBERGER CAPITAL PARTNERS INC.

REDWOOD SECURITIES GROUP, INC.

SOUNDVIEW TECHNOLOGY CORPORATION

E*OFFERING

WELLS FARGO SECURITIES, LLC

HENRY F. SWIFT & CO.

Primary Firm SEC Registration

WULFF, HANSEN & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1992

Series 99TO

Date: 1/2/2023

SIE

Date: 9/5/2017

Series 7

Date: 9/22/1990

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 2/3/1993

Series 8

Date: 8/20/1991

Series 14

Date: 8/25/1990

Series 4

Date: 7/2/1990

Series 27

Date: 5/14/1990

FINRA

Current Firm

WULFF, HANSEN & CO.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WULFF, HANSEN & CO.

TRUST BUT VERIFY

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