Theodore T. Tu
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Theodore T Tu, who also goes by Ted Tsungyin Tu, Ted Tu, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1990. Theodore had worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2010 - July 12, 2022
COASTEDGE PARTNERS, LLC
October 1, 2009 - July 29, 2010
LPL FINANCIAL LLC
September 11, 2009 - July 29, 2010
LPL FINANCIAL LLC
October 12, 2001 - June 21, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 18, 1996 - May 23, 2000
LEHMAN BROTHERS INC.
September 22, 1993 - December 20, 1994
GOLDMAN SACHS & CO. LLC
August 20, 1990 - April 7, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
COASTEDGE PARTNERS, LLC
CRD#: 149685 / SEC#: 801-70877
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COASTEDGE PARTNERS, LLC
CRD#: 149685 / SEC#: 801-70877
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,151 |
| AUM (Assets Under Management) | $ 1,751,672,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/24/2025 | ||
| 12/22/2023 | ||
| 01/03/2023 |
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.
