Stephen T Tu
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Tu
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Current Firm
SEACREST WEALTH MANAGEMENT, LLC
Contact Information
Main Address
3000 Westchester Avenue Suite 206, Purchase, NY 10577Phone Number
(914) 502-1900# of Employees
47SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,417AUM (Assets Under Management)
$1,533,465,779Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
Primary Firm SEC Registration
SEACREST WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(7/2/2019)
(9/20/2019)
(5/5/2022)
(6/14/2023)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2008About the Series 6 examSRO Registrations
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC
CRS (Client Relationship Summary) - RIA
Click below to view Stephen T Tu's CRS (Customer Relationship Summary).
Similar Advisors
SOUTH BAY FINANCIAL PARTNERS
MORGAN STANLEY
MORGAN STANLEY
VALIDUS CAPITAL LLC