William G. Chao

PUGET SOUND CAPITAL SERVICES LLC

Seattle, WA

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CRD#: 858692

Professional summary

William George Chao is a registered financial advisor currently at PUGET SOUND CAPITAL SERVICES LLC located in Seattle, Washington.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. William has worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

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.

BUSINESS NAME: MAGNUSON PARK CENTER FOR EXCELLENCE (dba: Hangar2); NATURE OF BUSINESS: 501C(3) NOT FOR PROFIT-COMMUNITY SERVICE; INVESTMENT RELATED BUSINESS: NO; ADDRESS: 1314 6TH AVE W, SEATTLE, WA, 98119; POSITION/TITLE: CO-CHAIR; DATE OF FORMATION: 10/9/2015; HOURS PER MONTH: 10; HOURS PER MONTH DURING TRADING HOURS: 0; DUTIES: POLICY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William George Chao'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

June 15, 2006 - Present

PUGET SOUND CAPITAL SERVICES LLC

RIA

CRD#: 140582

Seattle, WA

Past

April 21, 2006 - May 30, 2006

LPL FINANCIAL LLC

RIA

CRD#: 6413

SEATTLE, WA

Past

April 28, 1980 - May 30, 2006

LPL FINANCIAL LLC

CRD#: 6413

SEATTLE, WA

Past

May 29, 1979 - May 9, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

November 1, 1978 - April 22, 1979

LEHMAN BROTHERS INC.

CRD#: 7506

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

Washington
(6/15/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/20/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/16/1983

General Securities Principal Examination

Current Firm

PUGET SOUND CAPITAL SERVICES LLC

CRD#: 140582 / SEC#:

Washington

Registered Investment Advisory firm - (6/15/2006 Approved)

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Contact information

Main Address

Seattle, WA

Mailing Address

Phone number

(206) 420-3889

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William G. Chao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William George Chao's CRS (Customer Relationship Summary).

Certified licenses

Experience

PUGET SOUND CAPITAL SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2006

Series 63

Date: 11/4/1983

Series 7

Date: 5/19/1979

Series 24

Date: 5/16/1983

Current Firm

PUGET SOUND CAPITAL SERVICES LLC

Contact information

Documents

Red Flags

Company Information

PUGET SOUND CAPITAL SERVICES LLC

TRUST BUT VERIFY

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