KH
Kevin S. Hsu
SUMMIT GATES CAPITAL
Cerritos, CA
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CRD#: 6935519
KH
Professional summary
Kevin S Hsu is a registered financial advisor currently at SUMMIT GATES CAPITAL located in Cerritos, California.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Kevin has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Beginning November 2023, Mr. Hsu serves as a consultant to an unaffiliated talent and solutions company (non-investment related), Vaco, where he spends approximately 80 hours per month working in a hybrid (remote and on-site) capacity for their clients. Hours during securities trading hours vary depending on the need and can range from 0-5 hours). In this role, Mr. Hsu advises Vaco's clients on accounting and finance related matters. Mr. Hsu does not recommend any clients to participate in Vaco projects or to retain Vaco for accounting and finance projects. The potential conflict of interest is mitigated where clients are under no obligation to engage the services of Vaco. SGC's Chief Compliance Officer, Kevin Hsu, remains available to address any questions that a client or prospective client may have regarding the above conflict of interest.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin S Hsu'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
May 21, 2018 - Present
SUMMIT GATES CAPITAL
RIA
CRD#: 296071
Cerritos, CA
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
California(5/21/2018)
Current Firm
SG
SUMMIT GATES CAPITAL
SUMMIT GATES CAPITAL | SUMMIT GATES CAPITAL LLC
CRD#: 296071 / SEC#:
California
Registered Investment Advisory firm - (5/21/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Cerritos, CA
Mailing Address
Phone number
(562) 204-6182
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 15 |
| AUM (Assets Under Management) | $ 1,300,000 |
Red Flags
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