Kimberly E. Tu

BROOKSTONE WEALTH ADVISORS

Vancouver, WA 98660

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CRD#: 6421387

Professional summary

Kimberly Eileen Tu, who also goes by Kimberly Eileen Tippett, Kimberly Tippett, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Vancouver, Washington.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Kimberly has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kimberly Eileen Tippett | Kimberly Tippett

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.

ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: HOODZ OF CLACKAMAS POSITION: SECRETARY START DATE: 8/4/2015 ADDRESS: 2050 Oregon city OR DETAILS: FAMILY BUSINESS, KITCHEN EXHAUST CLEANING. I SCHEDULE JOBS, CALCULATE PAYROLL, RUN SALES AND DO ACCOUNTS RECEIVABLE. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 80 HOURS DURING TRADING: 0 YourPro works with retirees in helping build retirement strategies around optimizing Social Security - we do offer insurance products along with AUM accounts with Brookstone to facilitate retirement needs of individuals

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Eileen 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

June 21, 2022 - Present

BROOKSTONE WEALTH ADVISORS, LLC

Office #1: 1220 Main Place Suite 400, Vancouver, WA 98660

RIA

CRD#: 137658

Vancouver, WA

Past

February 2, 2015 - February 26, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

Vancouver, WA

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 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.

Highlighted states indicate IAR registrations

IAR

Oregon
(6/23/2022)

IAR

Texas
(7/14/2023)

IAR

Washington
(6/21/2022)

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 65

Date: 6/5/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/30/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/2/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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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Firm Stability Insights

Kimberly E. Tu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Eileen Tu's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/5/2022

Series 63

Date: 3/16/2015

Series 6TO

Date: 3/30/2024

SIE

Date: 10/1/2018

Series 6

Date: 2/2/2015

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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