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Stephen Tu
17 Years of Experience
Rolling Hills Estates, CA
2 DisclosuresBrokerSells Insurance
Stephen Tu is a registered investment advisor, based in Rolling Hills Estates, CA, with 17 years of industry experience.
Location
609 Deep Valley Dr, Suite 200, Rolling Hills Estates, CA, 90274
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Regulatory History (2)
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Employment Separation After Allegations
June 2019Customer Dispute
February 2016Denied
Other Business ActivitiesSells Insurance
Stephen is a wealth advisor at Seacrest Wealth Management, an RIA, and also sells fixed insurance/annuities, dedicating nearly full-time hours to this. He also refers clients to mortgage brokers, spending minimal time on this activity.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
September 2019 - Present · 6 yrs 10 mos
Purshe Kaplan Sterling Investments
September 2019 - Present · 6 yrs 10 mos
Seacrest Wealth Management, LLC
July 2019 - Present · 7 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2013 - July 2019 · 6 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 2013 - July 2019 · 6 yrs 3 mos
Morgan Stanley
August 2010 - May 2013 · 2 yrs 9 mos
Morgan StanleyBroker
June 2010 - May 2013 · 2 yrs 11 mos
Wells Fargo Advisors, LLCBroker
August 2008 - April 2010 · 1 yr 8 mos
State Registrations4 states
CAHINCOK
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.