Daphne Hu, financial advisor North Wales PA
93 score

Daphne Hu

CRD Number: 3092815
Current Firm: United Capital Financial Advisers

Daphne Hu (CRD# 3092815) is an Investment Advisor Representative working at United Capital Financial Advisers in North Wales, PA and has over 5 years of experience in the finance industry. Daphne 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
United Capital Financial Advisers North Wales, PA May 2013 - Current 3
Unemployed Lower Gwynedd, PA Jun 2012 - May 2013 < 1
Mercer Advisors Inc. West Conshohocken, PA Jun 2011 - Jun 2012 1
U.s.bank Horsham, PA May 2010 - Jun 2011 1
Unemployed Spring House, PA Apr 2009 - Apr 2010 1
Advanta Bank Spring House, PA Dec 2005 - Mar 2009 3
Pottery Barn For Kids King Of Prussia, PA Oct 2005 - Oct 2006 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Aug 2011
Contact Info for Daphne C. Hu
Phone Number: 949-999-8500
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    15,406
    MILLIONS
  • Total Number of Accounts
    48,598
    ACCOUNTS
  • Average Account Value
    $317,017
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • 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

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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