Walter R. Chao
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.
Walter Rae Chao, AIF® was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 2003. Walter had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2016 - January 27, 2016
DRAGON FINANCIAL GROUP
October 15, 2012 - January 30, 2015
PURSHE KAPLAN STERLING INVESTMENTS
August 22, 2011 - January 27, 2016
DRAGON FINANCIAL GROUP
August 31, 2007 - September 13, 2012
LPL FINANCIAL LLC
August 31, 2007 - September 13, 2012
LPL FINANCIAL LLC
July 11, 2003 - September 5, 2007
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
DRAGON FINANCIAL GROUP
CRD#: 282113 / SEC#: 801-106920
Contact information
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.
