Kristoffer N Fu

Employer firm

Kestra Private Wealth Services, LLC CRD 155193

$13.5B regulatory AUM 109 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → 02/2021
  J.P. Morgan Securities Llc
  Whittier, CA
• 02/2021 → Present
  Kestra Private Wealth Services, Llc
  Brea, CA
• 02/2021 → Present
  Kestra Investment Services, Llc
  Brea, CA

Previous Registrations

• 2012-10-01 → 2021-02-18
  J.P. Morgan Securities Llc
  Whittier, CA
• 2009-05-02 → 2012-10-01
  Chase Investment Services Corp.
  Whittier, CA
• 2007-11-02 → 2009-05-02
  Wamu Investments, Inc.
  Whittier, CA
  Whittier, CA
  West Covina, CA
• 2007-05-09 → 2007-08-27
  Ameriprise Financial Services, Llc
  Corona, CA

Other Businesses

Busi Name: Fulerton Rental Property - 1647 Brea Blvd., Fullerton CA 92835 Inv Rel: No Address: 1647 Brea Blvd Fullerton CA 92835 NOB: Real Estate POSI: rental property owner Start Date: 5/1/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) DESC: collect rents, maintain property for tenants Busi Name: Maven Bridge Capital Inv Rel: Yes Address: 3 Pointe Dr., Ste 111 Brea CA 92821 NOB: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Other Other/None of the Above DBA to KPWS POSI: DBA to KPWS Start Date: 2/3/2021 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) DESC: DBA to KPWS Busi Name: BOSA IDEJ POSI: Strategic Advisor NOB: Consulting INV REL: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 46 Corazon Street, Rancho Mission Viejo CA 92694 DESC: We start the journey with the business owner by having them complete a "triggering event" (for a flat consulting fee). I will work in conjunction with a valuation company to help the business owner obtain a valuation of their business. I will the conduct personal and business rediness and attractiveness surveys with the owner and help them understand if their current business value is enough for them to accomplish their personal and financial goals. If it is not, then I will work with the business owner to address their wealth gap and value gap and create an action plan and consult for an ongoing consulting fee helping them with different strategies and workshops that can potentially drive more value to their business and address their wealth gap and value gaps in the business. Busi Name: DAYONE STRATEGIC ADVISERS POSI: Founder & Strategic Business Advisor NOB: Consulting INV REL: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 03/13/2023 ADDRESS: 46 Corazon Street, Rancho Mission Viejo CA 92694 DESC: We start the journey with the business owner by having them complete a "triggering event" (for a flat consulting fee). I will work in conjunction with a valuation company to help the business owner obtain a valuation of their business. I will the conduct personal and business rediness and attractiveness surveys with the owner and help them understand if their current business value is enough for them to accomplish their personal and financial goals. If it is not, then I will work with the business owner to address their wealth gap and value gap and create an action plan and consult for an ongoing consulting fee helping them with different strategies and workshops that can potentially drive more value to their business and address their wealth gap and value gaps in the business. Busi Name: EVOKE WEALTH MANAGEMENT POSI: DBA to KPWS NOB: Insurance INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 132 START DATE: 02/01/2024 ADDRESS: 3 Pointe Drive, Suite 111, Brea CA 92821 DESC: DBA to KPWS

Exams

• S66 Uniform Combined State Law Examination
  2007-05-05

Designations

• Certified Financial Planner

Other Names

• Kristoffer Norman Fu