Xu Cheng
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Xu Cheng, who also goes by George Cheng, was a registered financial professional .
Xu is a previously registered financial professional and started their career in finance in 2014. Xu had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2018 - January 30, 2020
MOSS ADAMS WEALTH ADVISORS LLC
February 17, 2017 - June 5, 2017
SCOTTRADE INVESTMENT MANAGEMENT
December 7, 2016 - June 5, 2017
SCOTTRADE, INC.
July 15, 2016 - November 15, 2016
KEY INVESTMENT SERVICES LLC
December 29, 2014 - April 26, 2016
SCOTTRADE, INC.
Primary Firm SEC Registration
MOSS ADAMS WEALTH ADVISORS LLC
CRD#: 108917 / SEC#: 801-58074
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MOSS ADAMS WEALTH ADVISORS LLC
CRD#: 108917 / SEC#: 801-58074
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,627 |
| AUM (Assets Under Management) | $ 4,753,819,117 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 02/20/2025 | ||
| 03/27/2024 | ||
| 03/06/2024 | ||
| 02/18/2023 |
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.
