KS
Karen Shu
WEALTHFRONT ADVISERS LLC
Chelmsford, MA
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CRD#: 7459337
KS
Professional summary
Karen Shu is a registered financial advisor currently at WEALTHFRONT ADVISERS LLC located in Chelmsford, Massachusetts and WEALTHFRONT BROKERAGE LLC located in Palo Alto, California.
Karen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Karen has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.
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.
1). Business Name: Key to the World Travel, LLC. Investment-Related: No. Address of Business: 6029 W Alanada Ct SE, Caledonia, Michigan, United States, 49316 Nature of Business: Disney Travel Agency. Position: Independent Contractor. Title: Travel Advisor. Start of Relationship: March 2020. Number of Hours/Month: 5. Number of hours During Securities Trading Hours: 0. Duties Relating to the Other Business: Help clients plan and book Disney vacations 2). Business Name: Instagram. Investment-Related: No. Position: Account Owner/Content Creator. Start Date: January 2020. Number of Hours/Month: 20. Number of hours During Securities Trading Hours: 0. Duties: Run an Instagram account (@mickeyshus). Create and post content to the site. 2). Business Name: Mercari. Investment-Related: No. Nature of Business: Platform to post items for sale. Position: Independent Contractor. Start of Relationship: November 2022. Number of Hours/Month: 4. Number of hours During Securities Trading Hours: 0. Duties Relating to the Other Business: Post items for sale.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Shu'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
February 2, 2022 - Present
WEALTHFRONT ADVISERS LLC
RIA
CRD#: 148456
Chelmsford, MA
Current
December 24, 2021 - Present
WEALTHFRONT BROKERAGE LLC
Office #1: 261 Hamilton Ave, Palo Alto, CA 94301BD
CRD#: 153407
Palo Alto, 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".
WA
WEALTHFRONT ADVISERS LLC
KACHING | WEALTHFRONT INC. | WEALTHFRONT ADVISERS LLC | WEALTHFRONT ADVISERS | WEALTHFRONT | THE INVESTING IQ APP | KACHING GROUP, INC | KACHING GROUP INC.
CRD#: 148456 / SEC#: 801-69766
RIA
Registered Investment Advisory firm - (11/21/2008 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.RR
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
RR
California(2/2/2022)
IAR
California(2/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/24/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WEALTHFRONT ADVISERS LLC
KACHING | WEALTHFRONT INC. | WEALTHFRONT ADVISERS LLC | WEALTHFRONT ADVISERS | WEALTHFRONT | THE INVESTING IQ APP | KACHING GROUP, INC | KACHING GROUP INC.
CRD#: 148456 / SEC#: 801-69766
RIA
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Contact information
Main Address
261 Hamilton Ave., Palo Alto, CA 94301
Mailing Address
Phone number
(855) 695-8437
Established
Firm type
Fiscal year end
# of Employees
402
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 642,888 |
| AUM (Assets Under Management) | $ 42,948,787,664 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 01/11/2024 | ||
| 01/03/2023 |
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.
