Kristoffer N. Fu
KESTRA PRIVATE WEALTH SERVICES
RANCHO MISSION VIEJO, CA
Some features on this profile are disabled
CRD#: 5224035
Professional summary
Kristoffer N Fu, CFP®, CPWA®, who also goes by Kristoffer Norman Fu, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Rancho Mission Viejo, California and KESTRA INVESTMENT SERVICES, LLC located in Brea, California.
Kristoffer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kristoffer has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristoffer Norman Fu
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.
Busi Name: Fulerton Rental Property - 1647 Brea Blvd., Fullerton CA 92835 Inv Rel: No Address: 1647 Brea Blvd Fullerton CA 92835 NOB: Real Estate POSI: rental property owner Start Date: 5/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) DESC: collect rents, maintain property for tenants Busi Name: Maven Bridge Capital Inv Rel: Yes Address: 3 Pointe Dr., Ste 111 Brea CA 92821 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Other Other/None of the Above DBA to KPWS POSI: DBA to KPWS Start Date: 2/3/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) DESC: DBA to KPWS Busi Name: BOSA IDEJ POSI: Strategic Advisor NOB: Consulting INV REL: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 46 Corazon Street, Rancho Mission Viejo CA 92694 DESC: We start the journey with the business owner by having them complete a "triggering event" (for a flat consulting fee). I will work in conjunction with a valuation company to help the business owner obtain a valuation of their business. I will the conduct personal and business rediness and attractiveness surveys with the owner and help them understand if their current business value is enough for them to accomplish their personal and financial goals. If it is not, then I will work with the business owner to address their wealth gap and value gap and create an action plan and consult for an ongoing consulting fee helping them with different strategies and workshops that can potentially drive more value to their business and address their wealth gap and value gaps in the business. Busi Name: DAYONE STRATEGIC ADVISERS POSI: Founder & Strategic Business Advisor NOB: Consulting INV REL: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 46 Corazon Street, Rancho Mission Viejo CA 92694 DESC: We start the journey with the business owner by having them complete a "triggering event" (for a flat consulting fee). I will work in conjunction with a valuation company to help the business owner obtain a valuation of their business. I will the conduct personal and business rediness and attractiveness surveys with the owner and help them understand if their current business value is enough for them to accomplish their personal and financial goals. If it is not, then I will work with the business owner to address their wealth gap and value gap and create an action plan and consult for an ongoing consulting fee helping them with different strategies and workshops that can potentially drive more value to their business and address their wealth gap and value gaps in the business. Busi Name: EVOKE WEALTH MANAGEMENT POSI: DBA to KPWS NOB: Insurance INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 02/01/2024 ADDRESS: 3 Pointe Drive, Suite 111, Brea CA 92821 DESC: DBA to KPWS
CRS (Client Relationship Summary) - RIA
Click below to view Kristoffer N Fu'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®
CFP®
Start date: 2018
CPWA®
Start date: 2021-08-23
Expire date: 2023-07-31
Experience
Current
February 3, 2021 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #2: 3 Pointe Drive Suite 111, Brea, CA 92821RIA
CRD#: 155193
RANCHO MISSION VIEJO, CA
Current
February 3, 2021 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 3 Pointe Drive Suite 111, Brea, CA 92821BD
CRD#: 42046
Brea, CA
Past
October 1, 2012 - February 18, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
WHITTIER, CA
Past
October 1, 2012 - February 18, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
WHITTIER, CA
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WHITTIER, CA
Past
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
WHITTIER, CA
Past
November 2, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
WHITTIER, CA
Past
November 2, 2007 - May 2, 2009
WAMU INVESTMENTS, INC.
BD
CRD#: 599
WHITTIER, CA
Past
May 9, 2007 - August 27, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CORONA, CA
Past
February 2, 2007 - August 27, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CORONA, CA
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/3/2021)
RR
California(2/3/2021)
IAR
California(2/3/2021)
RR
Florida(7/22/2022)
RR
Nevada(2/3/2021)
RR
Texas(2/3/2021)
IAR
Texas(2/3/2021)
RR
Washington(2/11/2021)
RR
West Virginia(2/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
