Cfo/poo for Regulatory Purposes Only · Wulff, Hansen & Co.
Kim B Tu
CRD 2047262 · Named on Form ADV at one SEC-registered adviser
At a glance
Wulff, Hansen & Co., an SEC-registered broker-dealer firm based in SAN Rafael, CA with $145 million in regulatory assets, lists Kim B Tu on its Form ADV as Cfo/poo for Regulatory Purposes Only, a control person.
Firms and roles
- Wulff, Hansen & Co.Cfo/poo for Regulatory Purposes OnlyBroker-dealer firm · SAN Rafael, CA · $145M in regulatory assets
AtlasMembers
Kim’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
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Colleagues named on the same filings
- Christopher Donald CharlesPresident, CCO Chief Compliance Officer, Wulff, Hansen & Co.
- Dennis Henry SteinkampSenior Vice President, Wulff, Hansen & Co.
- Robert John PankratzMunicipal Advisor Representative, Director of Operations, Vice President, Wulff, Hansen & Co.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kim’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.