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RC

Raymond Chung

EMERALD WAVES INVESTMENTS
CUPERTINO, CA
Some features on this profile are disabled
CRD#: 4299872
RC

Professional summary

Raymond Chung is a registered financial advisor currently at EMERALD WAVES INVESTMENTS, LLC located in Cupertino, California.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Raymond has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Chung's 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

July 20, 2010 - Present

EMERALD WAVES INVESTMENTS, LLC

RIA
CRD#: 154095
CUPERTINO, CA
Past

December 21, 2000 - February 26, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
(7/20/2010)
IAR
Texas
(11/17/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 1/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/2000
General Securities Representative Examination

Current Firm

EW
EMERALD WAVES INVESTMENTS, LLC
EMERALD WAVES INVESTMENTS, LLC

CRD#: 154095 / SEC#:

California
Registered Investment Advisory firm - (7/20/2010 Approved)
Texas
Registered Investment Advisory firm - (11/17/2010 Conditional Restricted)
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Contact information

Main Address
Cupertino, CA
Mailing Address
Po Box 1232, Cupertino, CA 95015
Phone number
(408) 216-0153
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts22
AUM (Assets Under Management)$ 4,213,434

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.

Company Information

EMERALD WAVES INVESTMENTS, LLC

CRD#: 154095Cupertino, CA

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