Stephen T. Tu

SEACREST WEALTH MANAGEMENT

Rolling Hills Estates, CA 90274

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CRD#: 5565787

Professional summary

Stephen T Tu, who also goes by Stephen Tu, is a registered financial advisor currently at SEACREST WEALTH MANAGEMENT, LLC located in Rolling Hills Estates, California and PURSHE KAPLAN STERLING INVESTMENTS located in Rolling Hills Estate, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Tu

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.

1) SEACREST WEALTH MANAGEMENT. INVESTMENT RELATED BUSINESS. LOCATED AT 3010 WESTCHESTER AVE, SUITE 307, PURCHASE, NY 10577. RIA, Wealth Advisor. Start 7/2019. 120hrs/mo, 5 during trading hours. RIA, Fixed Insurance/Annuities. 2) Mortgage Financing Referral Partner. Not Investment Related. 27385 Eastvale Road, Palos Verdes, CA 90274. Mortgage Referrals. Referral Partner. 10/2019. 2 Hrs/Mo; All During Trading Hours. Refer Clients to Mortgage Brokers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen T Tu's CRS (Customer Relationship Summary).

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

July 2, 2019 - Present

SEACREST WEALTH MANAGEMENT, LLC

Office #1: 609 Deep Valley Dr Suite 200, Rolling Hills Estates, CA 90274

RIA

CRD#: 147092

Rolling Hills Estates, CA

Current

September 20, 2019 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 609 Deep Valley Drive Suite 200, Rolling Hills Estate, CA 90274

CRD#: 35747

Rolling Hills Estate, CA

Past

April 24, 2013 - July 18, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ROLLING HILLS ESTATES, CA

Past

April 24, 2013 - July 18, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ROLLING HILLS ESTATES, CA

Past

August 28, 2010 - May 20, 2013

MORGAN STANLEY

RIA

CRD#: 149777

PALO ALTO, CA

Past

June 21, 2010 - May 20, 2013

MORGAN STANLEY

CRD#: 149777

PALO ALTO, CA

Past

August 26, 2008 - April 27, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

REDWOOD CITY, 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".

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 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.

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

IAR

California
(7/2/2019)

California
(9/20/2019)

Hawaii
(5/5/2022)

North Carolina
(6/14/2023)

Oklahoma
(9/11/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/11/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/25/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

CRD#: 147092 / SEC#: 801-69141

RIA

Registered Investment Advisory firm - (5/12/2008 Approved)

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Contact information

Main Address

3000 Westchester Avenue Suite 206, Purchase, NY 10577

Mailing Address

Phone number

(914) 502-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEACREST WEALTH MANAGEMENT, LLC DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	3,945
AUM (Assets Under Management)	$ 1,561,182,425

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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Advisor Monitoring

Firm Stability Insights

Stephen T. Tu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen T Tu's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

SEACREST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/2010

Series 63

Date: 10/11/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/1/2010

Series 6

Date: 8/25/2008

FINRA

Current Firm

SEACREST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEACREST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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