Richard Shu

REMINGTON WEALTH MANAGEMENT LLC

LOUISVILLE, KY

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CRD#: 4356690

Professional summary

Richard Shu is a registered financial advisor currently at REMINGTON WEALTH MANAGEMENT LLC located in Louisville, Kentucky.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Richard has worked at 5 firms and has passed the Series 66, Series 31, Series 7, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Richard Shu'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 20, 2010 - Present

REMINGTON WEALTH MANAGEMENT LLC

RIA

CRD#: 154598

LOUISVILLE, KY

Past

October 18, 2010 - April 26, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

LOUISVILLE, KY

Past

January 19, 2006 - August 4, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

January 19, 2006 - August 4, 2010

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

February 16, 2005 - January 20, 2006

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

LOUISVILLE, KY

Past

September 30, 2004 - January 20, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

July 5, 2001 - September 29, 2004

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LOUISVILLE, KY

Past

April 18, 2001 - September 29, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Kentucky
(8/20/2010)

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

IAR

Series 66

Date: 6/20/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 4/27/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/13/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 9/18/2006

NFA Branch Manager Examination

Current Firm

REMINGTON WEALTH MANAGEMENT LLC

REMINGTON WEALTH MANAGEMENT | REMINGTON WEALTH MANAGEMENT LLC

CRD#: 154598 / SEC#:

Kentucky

Registered Investment Advisory firm - (8/20/2010 Approved)

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Contact information

Main Address

Louisville, KY

Mailing Address

Phone number

(502) 640-3843

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 10,227,779

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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Richard Shu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Shu's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2001

Series 31

Date: 4/27/2001

Series 7

Date: 4/17/2001

Series 24

Date: 12/13/2006

Series 30

Date: 9/18/2006

Current Firm

REMINGTON WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

REMINGTON WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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