SC
CFP
SC
CFP

Simon Y Chung

22 Years of Experience
Sells Insurance
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningTax PlanningEducation PlanningCharitable GivingFinancial Planning & CoachingReal Estate InvestingHigh Net Worth
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
21 advisors
Number of Clients
1,928 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$3.0B

Fee Structure

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Location

1124 Bristol St., Costa Mesa, CA, 92626

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Simon is a licensed insurance agent since 2004 and may find a life insurance policy for clients as part of their financial plan. He dedicates minimal time to this activity.

Employment History
Current Registrations
Alpha Cubed Investments, LLC
March 2021 - Present · 4 yrs 11 mos
Previous Registrations
Royal Alliance Associates, INC.
June 2019 - March 2021 · 1 yr 9 mos
Royal Alliance Associates, INC.Broker
June 2019 - March 2021 · 1 yr 9 mos
Churchill Management Group
August 2018 - April 2019 · 8 mos
Ameriprise Financial Services, INC.
October 2017 - June 2018 · 8 mos
Ameriprise Financial Services, INC.Broker
October 2017 - June 2018 · 8 mos
Sorrento Pacific Financial, LLCBroker
July 2017 - October 2017 · 3 mos
Sorrento Pacific Financial, LLC
July 2017 - October 2017 · 3 mos
Creative Planning
September 2016 - February 2017 · 5 mos
Ameriprise Financial Services, INC.
July 2016 - September 2016 · 2 mos
Ameriprise Financial Services, INC.Broker
July 2016 - September 2016 · 2 mos
Ameriprise Financial Services, INC.Broker
June 2014 - May 2016 · 1 yr 11 mos
Ameriprise Financial Services, INC.
June 2014 - May 2016 · 1 yr 11 mos
TD Ameritrade, INC.Broker
August 2012 - May 2014 · 1 yr 9 mos
TD Ameritrade, INC.
August 2012 - May 2014 · 1 yr 9 mos
Amerivest Investment Management, LLC
August 2012 - May 2014 · 1 yr 9 mos
Fisher Investments
August 2011 - August 2012 · 1 yr
Western Financial Advisors
November 2004 - July 2011 · 6 yrs 8 mos
Wfp SecuritiesBroker
April 2003 - July 2011 · 8 yrs 3 mos
Pacific Select Distributors, INC.Broker
November 2001 - March 2003 · 1 yr 4 mos
State Registrations1 state
CA
Advisor
Exams
No exam information available for this advisor.