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HV

Hai H. Vu

Some features on this profile are disabled
CRD#: 4340547
HV

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.

Hai Huy Vu was a registered financial professional .

Hai is a previously registered financial professional and started their career in finance in 2001. Hai had worked at 3 firms and has passed the Series 63, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 22, 2020 - January 1, 2026

BRENTVIEW INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 300409
Los Angeles, CA
Past

June 19, 2008 - August 22, 2019

SANTA BARBARA ASSET MANAGEMENT, LLC

RIA
CRD#: 138123
LOS ANGELES, CA
Past

March 23, 2001 - October 17, 2005

JEFFERIES LLC

BD
CRD#: 2347
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".
BI
BRENTVIEW INVESTMENT MANAGEMENT, LLC
BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409 / SEC#: 801-118493

RIA
Registered Investment Advisory firm - (4/21/2020 Approved)
California
Registered Investment Advisory firm - (9/23/2020 Terminated)
Illinois
Registered Investment Advisory firm - (4/21/2020 Terminated)
New York
Registered Investment Advisory firm - (8/24/2020 Terminated)
Tennessee
Registered Investment Advisory firm - (8/25/2020 Terminated)

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.

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 12/18/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 3/22/2001
General Securities Representative Examination

Current Firm

BI
BRENTVIEW INVESTMENT MANAGEMENT, LLC
BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409 / SEC#: 801-118493

RIA
Registered Investment Advisory firm - (4/21/2020 Approved)
California
Registered Investment Advisory firm - (9/23/2020 Terminated)
Illinois
Registered Investment Advisory firm - (4/21/2020 Terminated)
New York
Registered Investment Advisory firm - (8/24/2020 Terminated)
Tennessee
Registered Investment Advisory firm - (8/25/2020 Terminated)
Loading...

Contact information

Main Address
One Northfield Plaza Suite 522, Northfield, IL 60093
Mailing Address
Phone number
(312) 283-4450
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BRENTVIEW INVESTMENT MANAGEMENT ADV PART 2 BROCHURE (3/20/2026)

Regulatory assets under management

Total Number of Accounts256
AUM (Assets Under Management)$ 233,434,428

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

BRENTVIEW INVESTMENT MANAGEMENT, LLC

CRD#: 300409

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