James Hu, financial advisor Diamond Bar CA
96 score

James Hu

CRD Number: 4601732
Current Firm: Partnervest Advisory Services LLC

James Hu (CRD# 4601732) is an Investment Advisor Representative working at Partnervest Advisory Services LLC in Diamond Bar, CA and has over 13 years of experience in the finance industry. James Hu has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Partnervest Advisory Services, LLC Santa Barbara, CA Jun 2013 - Current 3
Axa Advisors, LLC New York, NY Oct 2002 - May 2013 10
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2003
Contact Info for James Hu
Phone Number: 805-966-1266
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    514
    MILLIONS
  • Total Number of Accounts
    2,359
    ACCOUNTS
  • Average Account Value
    $217,761
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AZ, CA, CO, FL, ID, IL, MA, MD, MI, MN, MO, MT, NC, NJ, NV, NY, OH, OR, PA, TX, UT, VA, WA

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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