Eun-joo Chung
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.
Eun-joo Chung, who also goes by Eun Joo Chang, Eun-joo Chang, Eunjoo Chang, Eun-joo Chung, Eunjoo Chung, was a registered financial professional .
Eun-joo is a previously registered financial professional and started their career in finance in 1997. Eun-joo had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 26, 2025 - August 6, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2018 - June 30, 2021
FIRST LIBERTIES FINANCIAL
February 19, 2015 - April 19, 2017
STRATEGIC ADVISERS LLC
January 23, 2015 - April 19, 2017
FIDELITY BROKERAGE SERVICES LLC
June 11, 2014 - January 8, 2015
U.S. BANCORP ADVISORS, LLC
June 11, 2014 - January 8, 2015
U.S. BANCORP ADVISORS, LLC
October 6, 2011 - June 25, 2014
VALIC FINANCIAL ADVISORS, INC.
October 6, 2011 - June 25, 2014
VALIC FINANCIAL ADVISORS, INC.
May 19, 2011 - October 4, 2011
EAGLE STRATEGIES LLC
April 29, 2011 - October 4, 2011
NYLIFE SECURITIES LLC
February 23, 2010 - April 18, 2011
VALIC FINANCIAL ADVISORS, INC.
February 18, 2010 - April 18, 2011
VALIC FINANCIAL ADVISORS, INC.
January 23, 2009 - November 27, 2009
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - November 27, 2009
SECURITIES AMERICA, INC.
November 1, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
October 30, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
June 14, 2005 - June 11, 2007
WELLS FARGO INVESTMENTS, LLC
June 14, 2005 - June 11, 2007
WELLS FARGO INVESTMENTS, LLC
March 10, 2003 - June 7, 2005
WAMU INVESTMENTS, INC.
July 8, 1997 - March 10, 2003
UBS FINANCIAL SERVICES INC.
June 13, 1997 - March 10, 2003
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Series 7TO
Date: 10/6/2022
General Securities Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
