WC
Winston W. Chung
CETERA INVESTMENT ADVISERS LLC
Roslyn, NY
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CRD#: 2469195
WC
Professional summary
Winston Wook Chung, CFP®, who also goes by Sung Wook Chung, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Roslyn, New York and CETERA WEALTH SERVICES, LLC located in New York, New York.
Winston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Winston has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sung Wook Chung
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) BROKER/AGENT - HEALTH INSURANCE; INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; HEALTH INSURANCE AGENT; BROKER/AGENT; STARTED 5/10/2017; APX 2-6 HOURS/MONTH, NONE DURING TRADING 2) CHUNG FAMILY TRUST; 69 PORT WASHINGTON BLVD, ROSLYN, NY 11576; TRUSTEE FOR PARENTS TRUST; STARTED 4/23/2012; APX 1 HOUR/MONTH, NONE DURING TRADING; Manage family property in California. Hire property manager. Pay real estate taxes. 3) BUSINESS CONSULTING / EXIT PLANNING; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; BUSINESS OWNER CONSULTING; CONSULTANT; STARTED 10/27/2017; APX 10 HOURS/MONTH, NONE DURING TRADING; Review and analyze business expenses. Help formulate short, intermediate, and long term business goals. Help business owners develop a business plan. Help business owners with exit planning; 4. NAME OF OTHER BUSINESS: X-TREME HOME CARE CDPAP; INVESTMENT RELATED: NO; ADDRESS: 212-12 NORTHERN BLVD, #2A, BAYSIDE, NY 11361; NATURE OF BUSINESS: CAREGIVER; START DATE: 10/2022; POSITION/TITLE/RELATIONSHIP: BACKUP CAREGIVER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: COOK MEALS, DO LAUNDRY, CLEAN, GROCERY SHOP, DRIVE THEM TO THE DOCTOR, ETC. 5. NAME OF OTHER BUSINESS:WINSTON CHUNG - RENTAL PROPERTY ; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTIES; START DATE: 04/2012; POSITION/TITLE/RELATIONSHIP: MANAGER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: MANAGE RENTAL PROPERTIES FOR FAMILY TRUST, COMMUNICATE WITH TENANTS, FACILITATE REPAIRS AND COLLECT RENTS;
CRS (Client Relationship Summary) - RIA
Click below to view Winston Wook Chung's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2013
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Roslyn, NY
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 14 Wall St 20th Flr, New York, NY 10005BD
CRD#: 13572
New York, NY
Past
April 4, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
November 18, 2009 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
NEW YORK, NY
Past
November 18, 2009 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
NEW YORK, NY
Past
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEW YORK, NY
Past
May 29, 2007 - December 17, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 6, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
RIA
CRD#: 23988
NEW YORK, NY
Past
March 4, 1998 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
NEW YORK, NY
Past
October 10, 1994 - December 5, 1996
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/20/2019)
RR
Florida(11/18/2019)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
IAR
New York(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
