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Detailed Report
Simon Y Chung
SIMON Y CHUNG
CRD#: 4460687
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Investment Adviser
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Previous Broker
ALPHA CUBED INVESTMENTS, LLCCRD#: 159347 1124 BRISTOL ST.
COSTA MESA, CA 92626
Registration History
20022004200620082010201220142016201820202022202420263 FIRMS2012 - 2014 (1 year)2 FIRMS2014 - 2016 (1 year)2 FIRMS2016 - 2016 (<1 year)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2019 - 2021 (1 year)IAALPHA CUBED INVESTMENTS, LLC (CRD# 159347)2021 - Present (4 years)BWFP SECURITIES (CRD# 35098)2003 - 2011 (8 years)BPACIFIC SELECT DISTRIBUTORS, INC. (CRD# 4452)2001 - 2003 (1 year)IACHURCHILL MANAGEMENT GROUP (CRD# 109651)2018 - 2019 (<1 year)IACREATIVE PLANNING (CRD# 105348)2016 - 2017 (<1 year)IAFISHER INVESTMENTS (CRD# 107342)2011 - 2012 (1 year)IAWESTERN FINANCIAL ADVISORS (CRD# 35098)2004 - 2011 (6 years)
License(s)

State Registrations

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California 3/23/2021
Current Registration(s)
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ALPHA CUBED INVESTMENTS, LLC (CRD#:159347)
1124 BRISTOL ST., COSTA MESA, CA 92626
Registered with this firm since 3/23/2021
Previous Registration(s)
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 06/13/2019 - 03/09/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) TARZANA, CA
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 06/12/2019 - 03/09/2021 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) TARZANA, CA
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 08/30/2018 - 04/23/2019 CHURCHILL MANAGEMENT GROUP (CRD#:109651) Los Angeles, CA
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 10/24/2017 - 06/25/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LOS ANGELES, CA
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 10/23/2017 - 06/25/2018 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LOS ANGELES, CA
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 07/25/2017 - 10/13/2017 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) AMERICAN CANYON, CA
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 07/25/2017 - 10/13/2017 SORRENTO PACIFIC FINANCIAL, LLC (CRD#:127787) AMERICAN CANYON, CA
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 09/26/2016 - 02/15/2017 CREATIVE PLANNING (CRD#:105348) San Pablo, CA
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 07/11/2016 - 09/23/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN FRANCISCO, CA
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 07/11/2016 - 09/23/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SAN FRANCISCO, CA
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 06/04/2014 - 05/23/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WALNUT CREEK, CA
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 06/04/2014 - 05/23/2016 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WALNUT CREEK, CA
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 08/24/2012 - 05/27/2014 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) WALNUT CREEK, CA
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 08/24/2012 - 05/27/2014 TD AMERITRADE, INC. (CRD#:7870) WALNUT CREEK, CA
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 08/24/2012 - 05/27/2014 TD AMERITRADE, INC. (CRD#:7870) WALNUT CREEK, CA
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 08/04/2011 - 08/01/2012 FISHER INVESTMENTS (CRD#:107342) CAMAS, WA
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 11/17/2004 - 07/25/2011 WESTERN FINANCIAL ADVISORS (CRD#:35098) IRVINE, CA
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 04/30/2003 - 07/25/2011 WFP SECURITIES (CRD#:35098) IRVINE, CA
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 11/19/2001 - 03/03/2003 PACIFIC SELECT DISTRIBUTORS, INC. (CRD#:4452) NEWPORT BEACH, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.