Vivian Lo
STRATEGIC ADVISERS LLC | Vice President, Financial Consultant
ALHAMBRA, CA
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CRD#: 6305294
Professional summary
Vivian Lo, CFP®, who also goes by VIvian Kit Wai Chow, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Alhambra, California and FIDELITY BROKERAGE SERVICES LLC located in Pasadena, California.
Vivian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Vivian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
My interest and career in finance began with a firm belief that this is a people business first, numbers second. I believe to help clients work towards financial success, it stems from building a trusting client relationship, and sharing key financial planning concepts with clients. As relationships evolve and life events happen, I assist clients in mitigating change, while providing ongoing thoughtful guidance so that clients have a personalized plan in place.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vivian Kit Wai 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.
I*5685
For profit or not for profit:
Name of outside business organization: Eagle Rock Rental Home
Investment related:
Address of business:
Los Angeles, California 90041
Nature of business: ,
Position, title, association: ,
Start date of relationship: 9/1/2017
Number of hours devoted: 0 hour(s)
Number of hours devoted during trading hours: 0
Duties:
I*5687
For profit or not for profit:
Name of outside business organization: Canadian Condo
Investment related:
Address of business:
New Westminster, British Columbia 0
Nature of business: ,
Position, title, association: ,
Start date of relationship: 12/7/2017
Number of hours devoted: 0 hour(s)
Number of hours devoted during trading hours: 0
Duties:
CRS (Client Relationship Summary) - RIA
Click below to view Vivian Lo'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®
Education
Simon Fraser University
Bachelor of Arts (BA) - Communications
2006
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 123-127 South Lake Ave., Pasadena, CA 91101Office #3: 155 N Lake Avenue, Pasadena, CA 91101RIA
CRD#: 104555
ALHAMBRA, CA
Current
March 30, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 123-127 South Lake Ave., Pasadena, CA 91101Office #2: 155 N Lake Avenue, Pasadena, CA 91101BD
CRD#: 7784
Pasadena, CA
Past
April 7, 2020 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
PASADENA, CA
Past
May 5, 2014 - March 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN MARINO, CA
Past
April 11, 2014 - March 4, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN MARINO, 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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alaska(1/7/2022)
RR
Arizona(3/30/2020)
RR
Arkansas(7/8/2022)
RR
California(3/30/2020)
IAR
California(3/31/2025)
RR
Colorado(9/9/2022)
RR
Connecticut(4/15/2025)
RR
District of Columbia(4/30/2021)
RR
Florida(2/12/2021)
RR
Georgia(6/29/2020)
RR
Hawaii(9/8/2021)
RR
Idaho(8/13/2021)
RR
Illinois(1/6/2023)
RR
Maryland(9/29/2023)
RR
Massachusetts(5/6/2022)
RR
Nevada(3/30/2020)
RR
New Jersey(2/15/2023)
RR
New York(6/29/2020)
RR
North Carolina(7/23/2024)
RR
Oregon(3/12/2021)
RR
Pennsylvania(4/15/2025)
RR
Rhode Island(1/6/2023)
RR
South Dakota(2/25/2022)
RR
Tennessee(3/1/2024)
RR
Texas(10/9/2020)
IAR
Texas(3/31/2025)
RR
Utah(9/25/2023)
RR
Virginia(3/1/2024)
RR
Washington(5/29/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Vice President, Financial ConsultantCRD#: 104555Alhambra, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
