Vu Hoang Chau

Current Employers

Employment History

• 08/2014 → Present
  Principal Life Insurance Company
  Walnut Creek, CA
• 08/2014 → Present
  Principal Securities Inc
  Walnut Creek, CA

Previous Registrations

• 2012-09-25 → 2014-06-09
  Morgan Stanley
  Walnut Creek, CA
• 2011-10-18 → 2012-09-14
  Equitable Advisors, Llc
  Walnut Creek, CA
  Millbrae, CA
  San Francisco, CA
  San Francisco, CA

Other Businesses

**Fixed Insurance; Investment Related; ; Agent; Fixed LI, DI, LTC, Annuities, Group Benefits; Start Date: ; 4 hrs per month; 4 during trading hours. **Lionheart Enterprises; Not Investment Related; 9764 Davona Drive, San Ramon, CA 94583; Owner; Imports good such as dash cams, bluetooth locator cards, misting fans, LED furniture, Lounging Chairs, etc. to resell at county fairs and trade shows. Also buy wholesale goods to resell.; Start Date: 06/16/2017; 16 hrs per month; 5 during trading hours.***Dimensional Property Management LLC; Not Investment Related; San Ramon, CA; Co-owner; LLC established to own rental property.; Start Date: 05/01/2021; 5 hrs per month; 0 during trading hours. **LIONHEART DEVELOPMENT POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2021 ADDRESS: 6310 Mae Anne Ave, Reno NV 89523, United States DESCRIPTION: This is a retail commercial building that my wife and I own. We are the only owners at 50/50 each. We made a bid and was accepted In July 2021 and closed financing in August 2021. **LIONHEART ENTERPRISES POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 13 SECURITIES TRADING HOURS: 5 START DATE: 06/16/2017 ADDRESS: 9764 Davona Drive, San Ramon CA 94583, United States DESCRIPTION: Import and sell goods at county fairs and trade shows. Also buy wholesale goods to resell at fairs and tradeshows. **LIONHEART ENTERPRISES HOLDINGS POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 2337 LEXINGTON ST, SACRAMENTO CA 95815, United States DESCRIPTION: I bought and own a warehouse building that I put under an LLC. I rent this to my other business LLC. In the future I may rent to other tenant (non-client) to improve cashflow. **PADEOS POSITION: Owner/CEO NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/27/2024 ADDRESS: 2337 LEXINGTON ST, SACRAMENTO CA 95815, United States DESCRIPTION: Physical store sell of non-financial, non-insurance items, such as portable solar generators (large and small), solar panels, fast charge kit, extension batteries, battery bag enclosure, smart home cameras, smart lights, solar lights, solar cameras, microSD, prefab portable adu, prefab cabinetry, smart alarms, and other large items that isn't easily moved to be sold at fairs and events. **BROADRIDGE AIF POSITION: AIF Exam Writer Volunteer NATURE: Volunteer INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2024 ADDRESS: 9764 Davona Dr, San Ramon CA 94583, United States DESCRIPTION: I applied for an exam writer volunteer position with the FI360. I will be involved with a group to help analyze and create questions for the AIF exam. Customers are Financial Professionals looking to take the AIF. The role does not include selling any financial products to customers.

Exams

• S66 Uniform Combined State Law Examination
  2011-10-17

Other Names

• William Chau