KC
Keene Chau
SKBA CAPITAL MANAGEMENT
San Francisco, CA 94108-2805
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CRD#: 5676507
KC
Professional summary
Keene Chau, CFA is a registered financial advisor currently at SKBA CAPITAL MANAGEMENT, LLC located in San Francisco, California and FORESIDE FUND SERVICES, LLC located in San Francisco, California.
Keene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Keene has worked at 4 firms and has passed the Series 63, Series 7TO, SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view Keene Chau'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®
Experience
Current
September 5, 2025 - Present
SKBA CAPITAL MANAGEMENT, LLC
Office #1: 601 California St., Suite 1500, San Francisco, CA 94108-2805RIA
CRD#: 108542
San Francisco, CA
Current
September 5, 2025 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 601 California St Suite 1500, San Francisco, CA 94108BD
CRD#: 46106
San Francisco, CA
Past
April 11, 2022 - May 7, 2024
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
SAN FRANCISCO, CA
Past
January 15, 2014 - July 18, 2017
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
SKBA CAPITAL MANAGEMENT, LLC
SKBA CAPITAL MANAGEMENT, LLC | SPARE KAPLAN BISCHEL & ASSOCIATES LLC
CRD#: 108542 / SEC#: 801-56391
RIA
Registered Investment Advisory firm - (4/2/1999 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/5/2025)
RR
Alaska(9/5/2025)
RR
Arizona(9/5/2025)
RR
Arkansas(9/5/2025)
RR
California(9/5/2025)
IAR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Connecticut(9/5/2025)
RR
Delaware(9/5/2025)
RR
District of Columbia(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Hawaii(9/5/2025)
RR
Idaho(9/5/2025)
RR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
RR
Kansas(9/5/2025)
RR
Kentucky(9/5/2025)
RR
Louisiana(9/5/2025)
RR
Maine(9/5/2025)
RR
Maryland(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Michigan(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Mississippi(9/5/2025)
RR
Missouri(9/5/2025)
RR
Montana(9/5/2025)
RR
Nebraska(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New Jersey(9/5/2025)
RR
New Mexico(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
North Dakota(9/5/2025)
RR
Ohio(9/8/2025)
RR
Oklahoma(9/5/2025)
RR
Oregon(9/5/2025)
RR
Pennsylvania(9/5/2025)
RR
Puerto Rico(9/5/2025)
RR
Rhode Island(9/5/2025)
RR
South Carolina(9/5/2025)
RR
South Dakota(9/5/2025)
RR
Tennessee(9/5/2025)
RR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Vermont(9/5/2025)
RR
Virgin Islands(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
West Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
RR
Wyoming(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/11/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SKBA CAPITAL MANAGEMENT, LLC
SKBA CAPITAL MANAGEMENT, LLC | SPARE KAPLAN BISCHEL & ASSOCIATES LLC
CRD#: 108542 / SEC#: 801-56391
RIA
Registered Investment Advisory firm - (4/2/1999 Approved)PREMIUM
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Contact information
Main Address
601 California St., Suite 1500, San Francisco, CA 94108-2805
Mailing Address
Phone number
(415) 989-7852
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 732,021,000 |
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.
