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TH

Tony Hsu

ALETHEA CAPITAL MANAGEMENT
Rancho Santa Fe, CA 92067
Some features on this profile are disabled
CRD#: 2725513
TH

Professional summary

Tony Hsu, who also goes by Tony Nmn Hsu, is a registered financial advisor currently at ALETHEA CAPITAL MANAGEMENT, LLC located in Rancho Santa Fe, California.

Tony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Tony has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tony Nmn Hsu

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) - RIA

Click below to view Tony Hsu's CRS (Customer Relationship Summary).
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

March 7, 2011 - Present

ALETHEA CAPITAL MANAGEMENT, LLC

Office #1: 18029 Calle Ambiente Suite 509, Rancho Santa Fe, CA 92067Office #2: 255 S King St Fl 9, Seattle, WA 98104
RIA
CRD#: 156500
Rancho Santa Fe, CA
Past

July 21, 2009 - March 17, 2011

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
NEWPORT BEACH, CA
Past

July 20, 2009 - March 17, 2011

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEWPORT BEACH, CA
Past

July 5, 2005 - June 26, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
LA JOLLA, CA
Past

July 1, 2005 - June 26, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
LA JOLLA, CA
Past

June 18, 2001 - July 21, 2005

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
LOS ANGELES, CA
Past

January 13, 2001 - July 21, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 4, 1999 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

November 5, 1997 - October 12, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 29, 1996 - October 28, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

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".
AC
ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA | AVARON CAPITAL MANAGEMENT, LLC | ARROW WEALTH, LLC | ALETHEA CAPITAL MANAGEMENT, LLC

CRD#: 156500 / SEC#: 801-72176

RIA
Registered Investment Advisory firm - (2/28/2011 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(3/7/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/8/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/1996
General Securities Representative Examination

Current Firm

AC
ALETHEA CAPITAL MANAGEMENT, LLC
ALETHEA | AVARON CAPITAL MANAGEMENT, LLC | ARROW WEALTH, LLC | ALETHEA CAPITAL MANAGEMENT, LLC

CRD#: 156500 / SEC#: 801-72176

RIA
Registered Investment Advisory firm - (2/28/2011 Approved)
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Contact information

Main Address
Mercer Island, WA
Mailing Address
Phone number
(858) 926-2058
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts111
AUM (Assets Under Management)$ 196,055,931

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/25/2024
Cover Page
Report
03/04/2024
Cover Page
Report
04/04/2023
Cover Page
Report

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.

Company Information

ALETHEA CAPITAL MANAGEMENT, LLC

CRD#: 156500Rancho Santa Fe, CA 92067

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