AC
Austin F. Chow
CITY NATIONAL ROCHDALE
San Francisco, CA 94105
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CRD#: 6895482
AC
Professional summary
Austin Francis Chow, who also goes by Austin Chow, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in San Francisco, California and CNR SECURITIES, LLC located in San Francisco, California.
Austin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Austin has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Austin 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.
CRS (Client Relationship Summary) - RIA
Click below to view Austin Francis 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®
NoneExperience
Current
January 27, 2020 - Present
CITY NATIONAL ROCHDALE
Office #1: 455 Market Street Suite 1250, San Francisco, CA 94105RIA
CRD#: 117198
San Francisco, CA
Current
January 31, 2018 - Present
CNR SECURITIES, LLC
Office #1: 455 Market Street 20th Floor, San Francisco, CA 94105BD
CRD#: 18466
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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 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(1/27/2020)
RR
Arizona(1/27/2020)
RR
Arkansas(1/27/2020)
RR
California(1/27/2020)
IAR
California(1/27/2020)
RR
Colorado(1/27/2020)
RR
Delaware(1/27/2020)
RR
District of Columbia(1/27/2020)
RR
Florida(1/27/2020)
RR
Georgia(1/27/2020)
RR
Hawaii(1/27/2020)
RR
Idaho(1/27/2020)
RR
Iowa(1/27/2020)
RR
Kansas(1/27/2020)
RR
Kentucky(1/27/2020)
RR
Massachusetts(1/27/2020)
RR
Michigan(1/27/2020)
RR
Montana(1/27/2020)
RR
Nevada(1/27/2020)
RR
New Jersey(1/27/2020)
RR
New Mexico(1/27/2020)
RR
New York(1/27/2020)
RR
Ohio(1/28/2020)
RR
Oklahoma(1/27/2020)
RR
Oregon(1/27/2020)
RR
Pennsylvania(1/27/2020)
RR
South Dakota(1/27/2020)
RR
Tennessee(1/27/2020)
RR
Texas(1/27/2020)
IAR
Texas(2/7/2025)
RR
Utah(1/27/2020)
RR
Washington(1/27/2020)
RR
Wyoming(1/27/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
RIA
Registered Investment Advisory firm - (6/20/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
