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CS

Chong T. Shim

TLG ADVISORS
Los Angeles, CA 90010
CRD#: 6060793
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CS
Chong Taek ShimTLG ADVISORS

Professional summary

Chong Taek Shim, who also goes by Chong Taek Shim, Chong Shim, James Chong Taek Shim, is a registered financial advisor currently at TLG ADVISORS, INC. located in Los Angeles, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Chong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Chong has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Chong Taek Shim | Chong Shim | James Chong Taek Shim

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chong Taek Shim's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 7, 2024 - Present

TLG ADVISORS, INC.

Office #1: 3333 Wilshire Blvd, Suite 800, Los Angeles, CA 90010
RIA
CRD#: 111052
Los Angeles, CA
Current

June 7, 2024 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

November 1, 2021 - June 10, 2024

AMERITAS ADVISORY SERVICES, LLC

RIA
CRD#: 317245
Los Angeles, CA
Past

September 2, 2021 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
LOS ANGELES, CA
Past

September 2, 2021 - June 10, 2024

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LOS ANGELES, CA
Past

November 24, 2020 - August 16, 2021

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
LOS ANGELES, CA
Past

August 9, 2018 - August 16, 2021

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
LOS ANGELES, CA
Past

May 6, 2016 - August 14, 2018

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WESTLAKE VILLAGE, CA
Past

December 5, 2012 - March 28, 2016

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
LOS ANGELES, CA
Past

May 17, 2012 - March 28, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
LOS ANGELES, 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".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP

CRD#: 111052 / SEC#: 801-60458

RIA
Registered Investment Advisory firm - (8/6/2001 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

IAR
California
(6/7/2024)
RR
California
(6/11/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/4/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/28/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP

CRD#: 111052 / SEC#: 801-60458

RIA
Registered Investment Advisory firm - (8/6/2001 Approved)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TLG ADVISORS FORM ADV BROCHURE 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts6,331
AUM (Assets Under Management)$ 1,948,103,893

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

TLG ADVISORS, INC.

CRD#: 111052Los Angeles, CA 90010

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