Rodney Au Yeung

DISCIPLINE WEALTH SOLUTIONS

LOS ANGELES, CA

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CRD#: 4006157

Professional summary

Rodney Au Yeung, who also goes by Au-yeung Rodney, Rodney Au Yeung, is a registered financial advisor currently at DISCIPLINE WEALTH SOLUTIONS, INC. located in Los Angeles, California.

Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Rodney has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Au-Yeung Rodney | Rodney Au Yeung

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.

SOLE PROPRIETOR; INVESTMENT-RELATED; LOS ANGELES, CA; INSURANCE SERVICES; INSURANCE AGENT; 05/2002; APPROX. 20 HRS./WEEK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Au Yeung'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

October 21, 2024 - Present

DISCIPLINE WEALTH SOLUTIONS, INC.

RIA

CRD#: 315846

LOS ANGELES, CA

Past

October 13, 2021 - October 24, 2024

CPR INVESTMENTS INC

RIA

CRD#: 139067

LOS ANGELES, CA

Past

September 23, 2020 - October 13, 2021

AEGIS WEALTH MANAGEMENT, INC.

RIA

CRD#: 301990

Los Angeles, CA

Past

June 21, 2010 - September 17, 2010

STRATEGIC ADVISORS ALLIANCE, LLC

RIA

CRD#: 153264

ARCADIA, CA

Past

December 17, 1999 - March 9, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

DISCIPLINE WEALTH SOLUTIONS, INC.

CRD#: 315846 / SEC#: 801-122049

RIA

Registered Investment Advisory firm - (8/10/2021 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
(10/21/2024)

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: 8/28/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/16/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DISCIPLINE WEALTH SOLUTIONS, INC.

CRD#: 315846 / SEC#: 801-122049

RIA

Registered Investment Advisory firm - (8/10/2021 Approved)

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Contact information

Main Address

15 Halton Green Way, Greenville, SC 29607

Mailing Address

Phone number

(864) 322-6046

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCIPLINE WEALTH SOLUTIONS (5/20/2025)

Regulatory assets under management

Total Number of Accounts	2,750
AUM (Assets Under Management)	$ 316,318,696

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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Rodney Au Yeung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Au Yeung's CRS (Customer Relationship Summary).

Certified licenses

Experience

CPR INVESTMENTS INC

AEGIS WEALTH MANAGEMENT, INC.

STRATEGIC ADVISORS ALLIANCE, LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

DISCIPLINE WEALTH SOLUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2020

Series 63

Date: 11/26/1999

Series 6

Date: 12/16/1999

Current Firm

DISCIPLINE WEALTH SOLUTIONS, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DISCIPLINE WEALTH SOLUTIONS, INC.

TRUST BUT VERIFY

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