Christopher T. Chou
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Tsu Wai Chou was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2011 - May 24, 2023
EMBARK WEALTH MANAGEMENT, LLC
January 5, 2011 - July 5, 2011
1ST GLOBAL CAPITAL CORP.
April 24, 2003 - July 14, 2003
OSAIC WEALTH, INC.
July 24, 2002 - February 6, 2003
PRIME CAPITAL SERVICES, INC.
August 21, 1996 - February 15, 2001
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
February 28, 1991 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
September 25, 1990 - January 25, 1991
CITICORP FINANCIAL SERVICES,INC.
June 8, 1990 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1989 - June 14, 1990
NEW ENGLAND SECURITIES
October 19, 1988 - June 7, 1989
ROBYNS CAPITAL CORP.
April 25, 1988 - October 18, 1988
INDIVIDUAL'S SECURITIES LTD.
September 22, 1987 - April 28, 1988
HAMILTON, GRANT & COMPANY, INC.
Primary Firm SEC Registration
EMBARK WEALTH MANAGEMENT, LLC
CRD#: 157950 / SEC#: 801-129246
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMBARK WEALTH MANAGEMENT, LLC
CRD#: 157950 / SEC#: 801-129246
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 388 |
| AUM (Assets Under Management) | $ 51,847,440 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
