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YC

Young R. Chong

Some features on this profile are disabled
CRD#: 2592209
YC

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.

Young R Chong, who also goes by Young Rae Chong, Young Chong, was a registered financial professional .

Young is a previously registered financial professional and started their career in finance in 2007. Young had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Young Rae Chong | Young Chong

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 29, 2015 - July 2, 2015

CPS FINANCIAL & INSURANCE SERVICES, INC.

BD
CRD#: 41243
IRVINE, CA
Past

August 2, 2011 - September 26, 2014

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LOS ANGELES, CA
Past

August 2, 2011 - September 26, 2014

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
LOS ANGELES, CA
Past

February 14, 2011 - July 19, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
EL SEGUNDO, CA
Past

February 14, 2011 - July 19, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
EL SEGUNDO, CA
Past

January 5, 2010 - June 7, 2010

WESCOM FINANCIAL SERVICES

RIA
CRD#: 125650
PASADENA, CA
Past

January 4, 2010 - June 7, 2010

WESCOM FINANCIAL SERVICES

BD
CRD#: 125650
PASADENA, CA
Past

January 1, 2008 - December 23, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
TORRANCE, CA
Past

January 1, 2008 - December 23, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
TORRANCE, CA
Past

May 14, 2007 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
TORRANCE, CA
Past

April 27, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
TORRANCE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2007
General Securities Representative Examination

Current Firm

CF
CPS FINANCIAL & INSURANCE SERVICES, INC.
CPS FINANCIAL & INSURANCE SERVICES, INC. | CPS FINANCIAL SERVICES, INC.

CRD#: 41243 / SEC#: , 8-49337

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Phone number
(949) 442-7519
Established
California since 04/01/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ANDREW A. HOLDEN FAMILY TRUSTOWNER
FAXON, REYHEENA MARIAFINOP4219599
GANDY, MATTHEW AUSTINPRINCIPAL7007855
HOLDEN, ANDREW ALANPRESIDENT, CCO, AMLCP, CFO & TRUSTEE3098455

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.

Company Information

CPS FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 41243

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