Thomas Hoang Chau

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-06-05

CA RA
APPROVED

Since 2025-06-05

Branch Locations

Huntington Beach, CA • 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
Western International Securities, Inc.	Pasadena	CA	01/2005	06/2025
Lpl Financial Llc	San Gabriel	CA	06/2025	Present

01/2005 → 06/2025

Western International Securities, Inc.

Pasadena, CA
06/2025 → Present

Lpl Financial Llc

San Gabriel, CA

Previous Registrations

2005-01-11 → 2025-06-05

Western International Securities, Inc.

Pasadena, CA

Pasadena, CA

Pasadena, CA

San Gabriel, CA
2000-02-15 → 2005-02-08

Ubs Financial Services Inc.

Pasadena, CA

Other Businesses

1. 6/5/2025: Chau and Associates Asset Management Inc.; At reported business location(s); Business Entity For Tax/Investment Purposes Only; Not inv. related; start date 4/19/2008; 130hrs/mo. during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-26
S63	Uniform Securities Agent State Law Examination	1993-10-25

S65 Uniform Investment Adviser Law Examination

1996-04-26
S63 Uniform Securities Agent State Law Examination

1993-10-25

Other Names

Phong Chau
Phong Hoang Chau

View on SEC IAPD