Keo C. Chao
Professional summary
Keo Cal Chao, CFP® is a registered financial advisor currently at POINT4WARD FINANCIAL PLANNING located in Walnut Creek, California.
Keo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Keo has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keo Cal Chao's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2015
Experience
March 8, 2021 - Present
POINT4WARD FINANCIAL PLANNING
April 2, 2018 - January 28, 2021
PRUCO SECURITIES, LLC.
March 14, 2018 - January 28, 2021
PRUCO SECURITIES, LLC.
December 8, 2016 - November 30, 2017
SECURITIES AMERICA ADVISORS, INC.
December 8, 2016 - November 30, 2017
SECURITIES AMERICA, INC.
June 18, 2015 - December 8, 2016
FOOTHILL SECURITIES, INC.
June 5, 2015 - December 8, 2016
FOOTHILL SECURITIES, INC.
April 30, 2014 - September 25, 2014
LPL FINANCIAL LLC
April 30, 2014 - September 25, 2014
LPL FINANCIAL LLC
November 9, 2010 - June 13, 2013
RBC CAPITAL MARKETS, LLC
November 8, 2010 - June 13, 2013
RBC CAPITAL MARKETS, LLC
January 9, 2007 - November 8, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/8/2021)
Exams
Current Firm
POINT4WARD FINANCIAL PLANNING
CRD#: 312375 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 2,912,500 |
Red Flags
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