Katie H. 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.
Katie H Chung, CFP®, who also goes by Yawkaum Chong, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2006. Katie had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
October 25, 2019 - December 31, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - December 31, 2020
AVANTAX INVESTMENT SERVICES, INC.
March 30, 2009 - October 25, 2019
1ST GLOBAL ADVISORS INC
March 30, 2009 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
March 4, 2008 - October 9, 2008
EQUITABLE ADVISORS, LLC
March 3, 2008 - October 9, 2008
EQUITABLE ADVISORS, LLC
April 24, 2006 - February 6, 2008
GROVE POINT INVESTMENTS, LLC
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 7TO
Date: 3/17/2024
General Securities Representative ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
