TC
Thomas L. Chen
CHUNG WU INVESTMENT GROUP
SUGAR LAND, TX 77478
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CRD#: 7058971
TC
Professional summary
Thomas Li Chen is a registered financial advisor currently at CHUNG WU INVESTMENT GROUP, LLC located in Sugar Land, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Thomas has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. C&C Resources Management, Ltd.; Family Investment Business; Investment Related; 8911 Marshall Island St., Richmond, Texas 77469; General Partner; January 1, 2010; 2 hours per week none during securities trading hours.; Attend partners and board of directors meetings.
2. Thomas L Chen Partners, Ltd.; Family Investment Business; Investment Related; 318 Round Lake Dr., Rosenberg, Texas 77469; General Partner; January 1 2010; 2 hours per week, none during securities trading hours; Attend Partners and board of directors meetings.
3. Willis F Chen Partners, Ltd.; Family Investment Business; Investment Related; 8911 Marshall Island St., Richmond, Texas 77469; General Partner; January 1, 2010; 2 hours per week none during securities trading hours.; Attend partners and board of directors meetings.
4. C&C International Services, Inc.; Family Equipment Sales Business; Not Investment Related; 8911 Marshall Island St., Richmond, Texas 77469; General Partner; January 1, 2010; 2 hours per week none during securities trading hours.; Attend partners and board of directors meetings.
5. Seth, Inc.; Family Equipment Sales Business; Not Investment Related; 8911 Marshall Island St., Richmond, Texas 77469; General Partner; January 1, 2010; 2 hours per week none during securities trading hours.; Attend partners and board of directors meetings.
6. Blac, Inc.; Hydraulic Equipment Manufacturer for the Oil and Gas INdustry; Not Investment Related; 195 Spangler Ave, Elmhurst, IL 60126; Inside Sales Engineer (Part Time); December 1, 2018; MArketing Activities such as website design and brochure content 0-10 hours per week; no hours during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Li Chen'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
May 21, 2019 - Present
CHUNG WU INVESTMENT GROUP, LLC
Office #1: 1415 Lake Pointe Parkway, Sugar Land, TX 77478RIA
CRD#: 170362
SUGAR LAND, TX
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".
CW
CHUNG WU INVESTMENT GROUP, LLC
CHUNG WU INVESTMENT GROUP, LLC | CW INVESTMENT GROUP
CRD#: 170362 / SEC#: 801-130266
RIA
Registered Investment Advisory firm - (5/13/2024 Approved)Texas
Registered Investment Advisory firm - (5/16/2024 Terminated)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
Texas(5/21/2019)
Current Firm
CW
CHUNG WU INVESTMENT GROUP, LLC
CHUNG WU INVESTMENT GROUP, LLC | CW INVESTMENT GROUP
CRD#: 170362 / SEC#: 801-130266
RIA
Registered Investment Advisory firm - (5/13/2024 Approved)Texas
Registered Investment Advisory firm - (5/16/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1415 Lake Pointe Parkway, Sugar Land, TX 77478
Mailing Address
Phone number
(281) 203-0069
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 202 |
| AUM (Assets Under Management) | $ 127,196,111 |
Red Flags
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