Ann Chung

PASADENA PRIVATE WEALTH

Pasadena, CA 91101

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CRD#: 2880319

Professional summary

Ann Chung, who also goes by Ann N Dam, Ann Nga Dam, Ann Nga Damthai, Ann Thai, is a registered financial advisor currently at PASADENA PRIVATE WEALTH, LLC located in Pasadena, California.

Ann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Ann has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ann N Dam | Ann Nga Dam | Ann Nga Damthai | Ann Thai

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) Pasadena Private Wealth, LLC. Activity is business related. The Address is 2 North Lake Ave, Suite 520 Pasadena CA, 91101. This is an RIA. Senior client associate. Started 06/2018. 160 Hrs/Mo Devoted during Trading. Open brokerage accounts, processes account transfer, wire transfers and other client service requests.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Chung's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 1, 2019 - Present

PASADENA PRIVATE WEALTH, LLC

Office #1: 2 North Lake Avenue Suite 520, Pasadena, CA 91101

RIA

CRD#: 295178

Pasadena, CA

Past

January 24, 2025 - July 23, 2025

GT SECURITIES, INC.

CRD#: 116012

LOS ANGELES, CA

Past

May 18, 2020 - May 2, 2024

PENSIONMARK SECURITIES, LLC

CRD#: 283952

Pasadena, CA

Past

February 12, 2019 - May 18, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Pasadena, CA

Past

June 14, 2013 - January 30, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PASADENA, CA

Past

June 14, 2013 - January 30, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PASADENA, CA

Past

January 4, 2010 - October 7, 2011

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

LAGUNA NIGUEL, CA

Past

January 4, 2010 - October 7, 2011

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

LAGUNA NIGUEL, CA

Past

May 2, 2009 - December 3, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SAN CLEMENTE, CA

Past

May 2, 2009 - December 3, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN CLEMENTE, CA

Past

August 24, 2006 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

LOS ANGELES, CA

Past

February 12, 1999 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

LOS ANGELES, CA

Past

August 6, 1998 - March 18, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

September 1, 1997 - December 31, 1997

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

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".

PASADENA PRIVATE WEALTH, LLC

CRD#: 295178 / SEC#: 801-112999

RIA

Registered Investment Advisory firm - (4/27/2018 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.

Highlighted states indicate IAR registrations

IAR

California
(2/1/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/23/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PASADENA PRIVATE WEALTH, LLC

CRD#: 295178 / SEC#: 801-112999

RIA

Registered Investment Advisory firm - (4/27/2018 Approved)

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Contact information

Main Address

2 North Lake Avenue Suite 520, Pasadena, CA 91101

Mailing Address

Phone number

(626) 993-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PASADENA PRIVATE WEALTH PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,843
AUM (Assets Under Management)	$ 1,268,875,503

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.

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Advisor Monitoring

Firm Stability Insights

Ann Chung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ann Chung's CRS (Customer Relationship Summary).

Certified licenses

Experience

GT SECURITIES, INC.

PENSIONMARK SECURITIES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

SUNAMERICA SECURITIES, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

PASADENA PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/2006

Series 63

Date: 5/22/1997

SIE

Date: 1/30/2018

Series 7

Date: 1/27/2000

Series 6

Date: 6/24/1997

Current Firm

PASADENA PRIVATE WEALTH, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PASADENA PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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