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Keo Cal Chao

Point4Ward Financial Planning

Walnut Creek, CA

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Current Employers
Point4Ward Financial Planning

Walnut Creek, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-03-08
  • CA RA
    APPROVED
    Since 2021-03-08

Branch Locations

Walnut Creek, 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
OrganizationCityStateFromTo
Prudential Walnut Creek CA 03/2018 01/2021
Cathleen Petersen Ea Saratoga CA 02/2015 11/2017
Point4Ward Financial Planning Llc Walnut Creek CA 10/2020 Present
Unemployed Daly City CA 11/2017 03/2018
  • 03/2018 → 01/2021
    Prudential
    Walnut Creek, CA
  • 02/2015 → 11/2017
    Cathleen Petersen Ea
    Saratoga, CA
  • 10/2020 → Present
    Point4Ward Financial Planning Llc
    Walnut Creek, CA
  • 11/2017 → 03/2018
    Unemployed
    Daly City, CA
Previous Registrations
  • 2018-04-02 → 2021-01-28
    Pruco Securities, Llc.
    Walnut Creek, CA
    San Ramon, CA
  • 2016-12-08 → 2017-11-30
    Securities America Advisors, Inc.
    Saratoga, CA
  • 2015-06-05 → 2016-12-08
    Foothill Securities, Inc.
    Saratoga, CA
    Santa Clara, CA
    Santa Clara, CA
  • 2014-04-30 → 2014-09-25
    Lpl Financial Llc
    Santa Clara, CA
    San Diego, CA
    Santa Clara, CA
  • 2010-11-09 → 2013-06-13
    Rbc Capital Markets, Llc
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-05
  • S66 Uniform Combined State Law Examination
    2007-03-05
Designations

View on SEC IAPD

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