Burt Y. 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.
Burt Young Chao, who also goes by Burt Y. Chao, was a registered financial professional .
Burt is a previously registered financial professional and started their career in finance in 2006. Burt had worked at 3 firms and has passed the Series 63, SIE, Series 57, Series 79, Series 87, Series 86, 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
July 31, 2013 - September 27, 2017
PEP ADVISORY LLC
May 8, 2013 - September 3, 2013
INSIGHT SECURITIES, INC.
September 8, 2006 - July 23, 2012
SIMMONS & COMPANY INTERNATIONAL
State Registrations and Notice Filings
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Exams
Current Firm
PEP ADVISORY LLC
CRD#: 166636 / SEC#: , 8-69224
Contact information
FINRA licenses (25 States and Territories)
Documents
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.
