JV
Joseph D. Vu
VU FINANCIAL SERVICES,
Glenview, IL
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CRD#: 5448361
JV
Professional summary
Joseph D Vu, who also goes by Duong Vu, is a registered financial advisor currently at VU FINANCIAL SERVICES, INC located in Glenview, Illinois.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Joseph has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Duong Vu
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.
I AM A FULL TIME ASSOCIATE PROFESSOR OF FINANCE AT DEPAUL UNIVERSITY AT 1 EAST JACKSON BOULEVARD, CHICAGO, ILLINOIS 60604 SINCE 1988. THIS BUSINESS IS NOT INVESTMENT-RELATED. I SPEND ABOUT 80 HOURS/MONTH TEACHING MBA AND UNDERGRADUATE COURSES, AND DOING ACADEMIC RESEARCH. I TEACH MY COURSES MOSTLY IN THE EVENING. I ALSO TEACH CFA REVIEW CLASSES AT BECKER, A DIVISION OF DEVRY CORPORATION SINCE 2000. I SPEND ABOUT SIX HOURS/MONTH TEACHING COURSES IN THE EVENING AND ON THE WEEKEND. THIS BUSINESS IS NOT INVESTMENT-RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph D Vu'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®
NoneExperience
Current
June 11, 2008 - Present
VU FINANCIAL SERVICES, INC
RIA
CRD#: 145305
Glenview, IL
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
Illinois(6/11/2008)
Exams
Current Firm
VF
VU FINANCIAL SERVICES, INC
VU FINANCIAL SERVICES, INC
CRD#: 145305 / SEC#:
Illinois
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Contact information
Main Address
Glenview, IL
Mailing Address
Phone number
(847) 977-7967
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 3,499,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Florida | ERA - Active | 10/31/2023 |
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.
