David Chong is a registered investment advisor, based in Pasadena, CA, with 29 years of industry experience.
Location
790 E. Colorado Blvd, Suite 200, Pasadena, CA, 91101
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2021Regulatory
December 2020Final
Employment Separation After Allegations
July 2018Other Business Activities
David is a director of planning/advisor and financial advisor at Strategy Asset Managers LLC since 2018. He dedicates nearly full-time hours to this role, with a significant portion during trading hours.
Employment History
Current Registrations
The Leaders Group, INC.
January 2025 - Present · 1 yr 3 mos
The Leaders Group, INC.Broker
January 2025 - Present · 1 yr 3 mos
Strategy Asset Managers L.L.C.
December 2021 - Present · 4 yrs 4 mos
Previous Registrations
Strategy Asset Managers L.L.C.
May 2019 - February 2021 · 1 yr 9 mos
Newbridge Securities CorporationBroker
March 2019 - January 2021 · 1 yr 10 mos
Aurora Capital LLCBroker
October 2018 - February 2019 · 4 mos
Holly Street Wealth Advisors
August 2018 - January 2020 · 1 yr 5 mos
Wells Fargo Clearing Services, LLC
December 2009 - August 2018 · 8 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
December 2009 - August 2018 · 8 yrs 8 mos
Morgan Stanley Smith Barney LLC
June 2009 - December 2009 · 6 mos
Morgan Stanley Smith BarneyBroker
June 2009 - December 2009 · 6 mos
Citigroup Global Markets INC.
July 1997 - June 2009 · 11 yrs 11 mos
Citigroup Global Markets INC.Broker
December 1995 - June 2009 · 13 yrs 6 mos
State Registrations1 state
CA
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.