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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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RC

Roland W. Chow

OPTURA ADVISORS
Burlingame, CA 94010
Some features on this profile are disabled
CRD#: 6228711
RC

Professional summary

Roland Wing Chow, who also goes by Wing Chow, is a registered financial advisor currently at OPTURA ADVISORS, INC. located in Burlingame, California.

Roland is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Roland has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Wing Chow

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 Roland Wing Chow'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®
None

Experience

Current

May 13, 2015 - Present

OPTURA ADVISORS, INC.

Office #1: 533 Airport Blvd Suite 400, Burlingame, CA 94010
RIA
CRD#: 175424
Burlingame, CA
Past

January 18, 2022 - April 27, 2023

COMPOUND PLANNING, INC.

RIA
CRD#: 171787
Burlingame, CA

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
(5/13/2015)
IAR
Texas
(4/11/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/3/2014
Uniform Investment Adviser Law Examination

Current Firm

OA
OPTURA ADVISORS, INC.
CHOW, ROLAND WING | THE NAVIGANT GROUP | OPTURA INSURANCE SOLUTIONS | OPTURA ADVISORS, INC. | OPTURA ADVISORS

CRD#: 175424 / SEC#:

California
Registered Investment Advisory firm - (5/13/2015 Approved)
Texas
Registered Investment Advisory firm - (4/11/2024 Conditional Restricted)
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Contact information

Main Address
533 Airport Blvd Suite 400, Burlingame, CA 94010
Mailing Address
Phone number
(415) 968-9269
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts16
AUM (Assets Under Management)$ 671,002

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

OPTURA ADVISORS, INC.

CRD#: 175424Burlingame, CA 94010

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