Tiffany Chau

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Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-08-17

CA RA
APPROVED

Since 2026-08-17

Branch Locations

1124 Bristol Street, Costa Mesa, CA 92626 • 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
Dealers Choice Auto Auction	Signal Hill	CA	03/2014	03/2022
Sabbatical	Signal Hill	CA	04/2022	10/2022
Ernest Packaging Solutions	Los Angeles	CA	10/2022	07/2023
Crew Enterprises	Aliso Viejo	CA	07/2023	09/2025
Mit Associates, Llc	Tiburon	CA	09/2024	09/2025
Cion Securities, Llc	New York	NY	09/2025	04/2026
Capfinancial Securities, Llc.	Raleigh	NC	05/2026	Present
Captrust	Raleigh	NC	05/2026	Present

03/2014 → 03/2022

Dealers Choice Auto Auction

Signal Hill, CA
04/2022 → 10/2022

Sabbatical

Signal Hill, CA
10/2022 → 07/2023

Ernest Packaging Solutions

Los Angeles, CA
07/2023 → 09/2025

Crew Enterprises

Aliso Viejo, CA
09/2024 → 09/2025

Mit Associates, Llc

Tiburon, CA
09/2025 → 04/2026

Cion Securities, Llc

New York, NY
05/2026 → Present

Capfinancial Securities, Llc.

Raleigh, NC
05/2026 → Present

Captrust

Raleigh, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-08-17
S63	Uniform Securities Agent State Law Examination	2025-05-22

S66 Uniform Combined State Law Examination

2026-08-17
S63 Uniform Securities Agent State Law Examination

2025-05-22

View on SEC IAPD

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