Daphne C. Hu
Professional summary
Daphne C Hu, CFP®, who also goes by Chinghwa Hu, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in North Wales, Pennsylvania.
Daphne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Daphne has worked at 3 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daphne C Hu's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
May 31, 2013 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 736 Lower State Road, Building A, North Wales, PA 19454August 22, 2011 - October 13, 2012
MERCER GLOBAL ADVISORS INC.
September 25, 1998 - February 1, 1999
JPMSI
Primary Firm SEC Registration
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/31/2013)
Exams
Current Firm
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600 / SEC#: 801-64376
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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