Tony Hsu

Employer firm

Alethea Capital Management, LLC CRD 156500

$303M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)

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

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

Current Employers

Employment History

• 03/2011 → Present
  Alethea Capital Management, Llc
  San Diego, CA

Previous Registrations

• 2009-07-21 → 2011-03-17
  Oppenheimer & Co. Inc.
  San Diego, CA
  Newport Beach, CA
• 2005-07-05 → 2009-06-26
  Ubs Financial Services Inc.
  La Jolla, CA
  La Jolla, CA
• 2001-06-18 → 2005-07-21
  Deutsche Bank Securities Inc.
  Los Angeles, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-11-08
• S63 Uniform Securities Agent State Law Examination
  1997-04-24

Other Names

• Tony Hsu
• Tony Hsu
• Tony Hsu
• Tony Nmn Hsu