Simon Y Chung

Current Employers

Employment History

• 06/2014 → 09/2016
  Ameriprise Financial Services Inc
  San Francisco, CA
• 09/2016 → 07/2017
  Creative Planning
  Leawood, KS
• 07/2017 → 10/2017
  Sorrento Pacific Financial Llc
  San Diego, CA
• 10/2017 → 06/2018
  Ameriprise Financial Services Inc.
  Walnut Creek, CA
• 07/2018 → 03/2019
  Churchill Management
  Los Angeles, CA
• 06/2019 → 03/2021
  Royal Alliance
  Tarzana, CA
• 03/2021 → 01/2026
  Alpha Cubed Investments
  Irvine, CA
• 01/2026 → Present
  Capfinancial Partners, Llc. (Captrust)
  Raleigh, NC
• 01/2026 → Present
  Capfinancial Securities, Llc.
  Raleigh, NC

Previous Registrations

• 2021-03-23 → 2026-04-30
  Alpha Cubed Investments, Llc
  Costa Mesa, CA
• 2019-06-13 → 2021-03-09
  Osaic Wealth, Inc.
  Valencia, CA
• 2018-08-30 → 2019-04-23
  Churchill Management Group
  Los Angeles, CA
• 2017-10-24 → 2018-06-25
  Ameriprise Financial Services, Llc
  Los Angeles, CA
• 2017-07-25 → 2017-10-13
  Sorrento Pacific Financial, Llc
  Napa, CA
  American Canyon, CA
  Calistoga, CA
  Fairfield, CA
  Napa, CA
  St Helena, CA
  Vacaville, CA
  Vallejo, CA
  Yountville, CA
• 2016-09-26 → 2017-02-15
  Creative Planning
  San Pablo, CA
  Overland Park, KS
• 2016-07-11 → 2016-09-23
  Ameriprise Financial Services, Llc
  Walnut Creek, CA
  San Francisco, CA
• 2014-06-04 → 2016-05-23
  Ameriprise Financial Services, Llc
  Walnut Creek, CA
• 2012-08-24 → 2014-05-27
  Td Ameritrade, Inc.
  Walnut Creek, CA
• 2012-08-24 → 2014-05-27
  Td Ameritrade Investment Management, Llc
  Walnut Creek, CA
• 2011-08-04 → 2012-08-01
  Fisher Investments
  Camas, WA
  Plano, TX
• 2004-11-17 → 2011-07-25
  Wfp Securities
  San Diego, CA
  Irvine, CA

Exams

• S66 Uniform Combined State Law Examination
  2004-10-25
• S63 Uniform Securities Agent State Law Examination
  2003-12-12

Designations

Other Names

• Simon Y Chung