Chun Kau C. Cheung
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.
Chun Kau Charles Cheung, who also goes by Charles Cheung, was a registered financial professional .
Chun Kau is a previously registered financial professional and started their career in finance in 2000. Chun Kau had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2021 - October 28, 2024
EMPIRICAL WEALTH MANAGEMENT
February 28, 2020 - July 17, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 28, 2020 - July 17, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 25, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 5, 2002 - March 9, 2018
SCOTTRADE, INC.
February 24, 2000 - December 14, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
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
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,402 |
| AUM (Assets Under Management) | $ 6,701,226,120 |
Red Flags
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