Chun Dok Chris Wong

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Current Employers

Ni Advisors

1138 Cadillac Court, Milpitas, CA 95035-3058 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2016-02-04

CA RA
APPROVED

Since 2016-02-04

Branch Locations

1138 Cadillac Court, Milpitas, CA 95035 • UNITED STATES

1777 Parkview Green Circle, San Jose, CA 95131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ni Advisors	Emeryville	CA	04/2010	Present
Life Time Financial	San Jose	CA	08/2005	12/2021

04/2010 → Present

Ni Advisors

Emeryville, CA
08/2005 → 12/2021

Life Time Financial

San Jose, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-02-03
S63	Uniform Securities Agent State Law Examination	2008-04-05

S65 Uniform Investment Adviser Law Examination

2016-02-03
S63 Uniform Securities Agent State Law Examination

2008-04-05

View on SEC IAPD

Other Firms

CHARLES SCHWAB & CO., INC.

CETERA INVESTMENT ADVISERS LLC

NEW ASSETS INVESTMENT ADVISORS LLC

INDEPENDENT FINANCIAL GROUP, LLC

U.S. BANCORP ADVISORS, LLC

CITIGROUP GLOBAL MARKETS INC.

J.P. MORGAN SECURITIES LLC

GLOBAL ADVISORS, LLC

Other Investors

Sneha Dhar Karihaloo

CHAITI CHATTERJEE

Paul Qibin Yang

Other Offices

CHARLES SCHWAB & CO., INC. · Milpitas, CA

CETERA INVESTMENT ADVISERS LLC · MILPITAS, CA

NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA

NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA

INDEPENDENT FINANCIAL GROUP, LLC · Milpitas, CA

U.S. BANCORP ADVISORS, LLC · Milpitas, CA

CITIGROUP GLOBAL MARKETS INC. · Milpitas, CA

J.P. MORGAN SECURITIES LLC · MILPITAS, CA

More in Milpitas, CA

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