Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Hoang Chau is a financial advisor with Western International Securities, Inc., based in Pasadena, CA. Thomas Chau has been working in the industry since 1993. He specializes in providing financial planning, pension consulting and portfolio management services to individuals, businesses and charitable organizations. Chau & Associates Asset Management, Inc. is the DBA for his securities business. Thomas Chau holds both Series 63 and 65 registrations in addition to the Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
07/30/2007 - Present
Western International Securities, Inc. (Pasadena CA)
NJ
01/07/2000 - 02/08/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/14/1996 - 01/10/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/21/1993 - 10/30/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 04/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/25/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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