Andrew 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.
Andrew Chung, CFA was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2001. Andrew had worked at 18 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 87, Series 55, Series 7 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
October 10, 2017 - June 5, 2025
KESTRA ADVISORY SERVICES, LLC
October 10, 2017 - June 5, 2025
KESTRA INVESTMENT SERVICES, LLC
May 29, 2015 - October 2, 2017
PNC MANAGED ACCOUNT SOLUTIONS, INC.
May 18, 2015 - October 2, 2017
BBVA SECURITIES INC.
April 28, 2015 - April 28, 2015
MONEY CONCEPTS CAPITAL CORP
July 24, 2012 - April 28, 2015
MONEY CONCEPTS CAPITAL CORP
November 25, 2011 - February 13, 2012
OSAIC WEALTH, INC.
October 5, 2011 - October 18, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 13, 2011 - July 20, 2011
OSAIC SERVICES, INC.
August 3, 2010 - July 1, 2011
BMA SECURITIES, LLC
January 23, 2009 - July 27, 2010
CAPWEST SECURITIES, INC.
June 23, 2008 - December 16, 2008
ZECCO TRADING, INC.
August 31, 2005 - July 26, 2006
NATIONAL PLANNING CORPORATION
April 5, 2004 - August 2, 2005
COMMONWEALTH FINANCIAL NETWORK
December 18, 2003 - January 16, 2004
LPL FINANCIAL LLC
January 23, 2003 - June 9, 2003
WORLDCO, L.L.C.
January 8, 2003 - January 29, 2003
RUMSON CAPITAL, LLC
May 7, 2002 - January 22, 2003
WORLDCO, L.L.C.
September 25, 2001 - April 26, 2002
KERSHNER TRADING GROUP, LLC
August 3, 2001 - September 20, 2001
TD AMERITRADE, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/8/2001
Limited Representative-Equity Trader ExamCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
