VC
Vu H. Chau
PRINCIPAL SECURITIES
Walnut Creek, CA 94596
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CRD#: 5960097
VC
Professional summary
Vu Hoang Chau, AIF®, who also goes by William Chau, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Walnut Creek, California.
Vu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Vu has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
William Chau
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.
**Fixed Insurance; Investment Related; ; Agent; Fixed LI, DI, LTC, Annuities, Group Benefits; Start Date: ; 4 hrs per month; 4 during trading hours. **Lionheart Enterprises; Not Investment Related; 9764 Davona Drive, San Ramon, CA 94583; Owner; Imports good such as dash cams, bluetooth locator cards, misting fans, LED furniture, Lounging Chairs, etc. to resell at county fairs and trade shows. Also buy wholesale goods to resell.; Start Date: 06/16/2017; 16 hrs per month; 5 during trading hours.***Dimensional Property Management LLC; Not Investment Related; San Ramon, CA; Co-owner; LLC established to own rental property.; Start Date: 05/01/2021; 5 hrs per month; 0 during trading hours. **LIONHEART DEVELOPMENT POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2021 ADDRESS: 6310 Mae Anne Ave, Reno NV 89523, United States DESCRIPTION: This is a retail commercial building that my wife and I own. We are the only owners at 50/50 each. We made a bid and was accepted In July 2021 and closed financing in August 2021. **LIONHEART ENTERPRISES POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 13 SECURITIES TRADING HOURS: 5 START DATE: 06/16/2017 ADDRESS: 9764 Davona Drive, San Ramon CA 94583, United States DESCRIPTION: Import and sell goods at county fairs and trade shows. Also buy wholesale goods to resell at fairs and tradeshows. **LIONHEART ENTERPRISES HOLDINGS POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 2337 LEXINGTON ST, SACRAMENTO CA 95815, United States DESCRIPTION: I bought and own a warehouse building that I put under an LLC. I rent this to my other business LLC. In the future I may rent to other tenant (non-client) to improve cashflow. **PADEOS POSITION: Owner/CEO NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/27/2024 ADDRESS: 2337 LEXINGTON ST, SACRAMENTO CA 95815, United States DESCRIPTION: Physical store sell of non-financial, non-insurance items, such as portable solar generators (large and small), solar panels, fast charge kit, extension batteries, battery bag enclosure, smart home cameras, smart lights, solar lights, solar cameras, microSD, prefab portable adu, prefab cabinetry, smart alarms, and other large items that isn't easily moved to be sold at fairs and events. **BROADRIDGE AIF POSITION: AIF Exam Writer Volunteer NATURE: Volunteer INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2024 ADDRESS: 9764 Davona Dr, San Ramon CA 94583, United States DESCRIPTION: I applied for an exam writer volunteer position with the FI360. I will be involved with a group to help analyze and create questions for the AIF exam. Customers are Financial Professionals looking to take the AIF. The role does not include selling any financial products to customers.
CRS (Client Relationship Summary) - RIA
Click below to view Vu Hoang Chau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vu Hoang 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 4, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 500 Ygnacio Valley Rd Ste 270b, Walnut Creek, CA 94596RIA
BD
CRD#: 1137
Walnut Creek, CA
Current
September 2, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 500 Ygnacio Valley Rd Ste 270b, Walnut Creek, CA 94596RIA
BD
CRD#: 1137
Walnut Creek, CA
Past
September 25, 2012 - June 9, 2014
MORGAN STANLEY
RIA
CRD#: 149777
WALNUT CREEK, CA
Past
September 25, 2012 - June 9, 2014
MORGAN STANLEY
BD
CRD#: 149777
WALNUT CREEK, CA
Past
October 18, 2011 - September 14, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SAN FRANCISCO, CA
Past
August 31, 2011 - September 14, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Arizona(11/29/2018)
RR
Arkansas(1/31/2019)
RR
California(9/2/2014)
IAR
California(9/4/2014)
RR
Florida(3/19/2021)
RR
Georgia(11/15/2021)
RR
Illinois(12/19/2022)
RR
Maryland(3/28/2024)
RR
Massachusetts(4/22/2021)
RR
Michigan(12/19/2022)
RR
Missouri(2/28/2025)
RR
Montana(1/10/2017)
RR
Nebraska(3/25/2021)
RR
Nevada(11/6/2014)
RR
New York(1/11/2019)
RR
North Carolina(11/20/2023)
RR
North Dakota(11/20/2023)
RR
Ohio(7/12/2018)
RR
Oregon(9/3/2014)
RR
Pennsylvania(3/19/2021)
RR
South Dakota(12/19/2024)
RR
Tennessee(6/26/2024)
RR
Texas(9/3/2014)
IAR
Texas(3/8/2021)
RR
Washington(11/21/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Walnut Creek, CA 94596TRUST BUT VERIFY
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