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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen T. Tu is an investment advisor representative at Seacrest Wealth Management, LLC. Stephen Tu has been in the financial services industry since 2008. Stephen Tu is a registered investment advisor representative in California, Hawaii, North Carolina, and Oklahoma. Stephen Tu has passed the Series 6, 7, 63, and 65 exams. Stephen Tu has worked with individuals, high-net-worth individuals, charitable organizations, corporations or other businesses, and pension and profit-sharing plans. Stephen Tu provides portfolio management for individuals and businesses, financial planning, and pension consulting services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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CA
07/02/2019 - Present
Seacrest Wealth Management, LLC (Rolling Hills Estates CA)
CA
04/24/2013 - 07/18/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROLLING HILLS ESTATES CA)
CA
06/21/2010 - 05/20/2013
MORGAN STANLEY (PALO ALTO CA)
CA
08/26/2008 - 04/27/2010
WELLS FARGO ADVISORS, LLC (REDWOOD CITY CA)
IA
Issued 07/29/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/25/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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