BC
Brian Y. Chou
SECURA FINANCIAL
Orange, CA 92868-2944
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CRD#: 5921000
BC
Professional summary
Brian Yau Chou is a registered financial advisor currently at SECURA FINANCIAL located in Orange, California.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Brian has worked at 4 firms and has passed the Series 63, 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.
1) BARTH CALDERON, LLP: NON-INVESTMENT RELATED; 333 CITY BLVD WEST, SUITE 2050, ORANGE, CA; LAW FIRM; ATTORNEY; 10/01/2012; 240 HOURS/MONTH; 8 HOURS PER DAY DURING TRADING HOURS; ESTATE PLANNING & ASSET PROTECTION
2) J.W. COLE FINANICAL, INC.; ORANGE, CA; REGISTERED ASSISTANT; 05/2013.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Yau Chou'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®
NoneExperience
Current
March 25, 2014 - Present
SECURA FINANCIAL
Office #1: 333 City Boulevard West, Suite 2050, Orange, CA 92868-2944RIA
CRD#: 137324
Orange, CA
Past
May 10, 2013 - December 31, 2014
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
TAMPA, FL
Past
November 8, 2012 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
CARLSBAD, CA
Past
July 27, 2011 - June 29, 2012
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
LONG BEACH, 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".
SF
SECURA FINANCIAL
BARTH FINANCIAL ADVISORS, LLC | SECURA FINANCIAL, LLC | SECURA FINANCIAL | H.M. BARTH & COMPANY, LLC, FINANCIAL PLANNING & WEALTH MANAGEMENT | H.M. BARTH & COMPANY, LLC
CRD#: 137324 / SEC#: 801-113072
RIA
Registered Investment Advisory firm - (4/25/2018 Approved)Alaska
Registered Investment Advisory firm - (5/24/2018 Terminated)California
Registered Investment Advisory firm - (6/20/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
California(3/25/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SF
SECURA FINANCIAL
BARTH FINANCIAL ADVISORS, LLC | SECURA FINANCIAL, LLC | SECURA FINANCIAL | H.M. BARTH & COMPANY, LLC, FINANCIAL PLANNING & WEALTH MANAGEMENT | H.M. BARTH & COMPANY, LLC
CRD#: 137324 / SEC#: 801-113072
RIA
Registered Investment Advisory firm - (4/25/2018 Approved)Alaska
Registered Investment Advisory firm - (5/24/2018 Terminated)California
Registered Investment Advisory firm - (6/20/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
333 City Boulevard West, Suite 2050, Orange, CA 92868-2944
Mailing Address
Phone number
(714) 704-6616
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,141 |
| AUM (Assets Under Management) | $ 261,784,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
