Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
VIVIAN LO
VIVIAN KIT WAI CHOW
CRD#: 6305294
IA
Investment Adviser
B
Broker
STRATEGIC ADVISERS LLCCRD#: 104555 155 SEAPORT BLVD
BOSTON, MA 02210-2698
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 123-127 SOUTH LAKE AVE.
PASADENA, CA 91101
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2014 - 2020 (5 years)IASTRATEGIC ADVISERS LLC (CRD# 104555)2025 - Present (<1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2020 - Present (5 years)IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2020 - 2025 (4 years)
License(s)

State Registrations

B
Alaska 1/7/2022
B
Nevada 3/30/2020
B
Arizona 3/30/2020
B
New Jersey 2/15/2023
B
Arkansas 7/8/2022
B
New York 6/29/2020
B
California 3/30/2020
B
North Carolina 7/23/2024
IA
California 3/31/2025
B
Oregon 3/12/2021
B
Colorado 9/9/2022
B
Rhode Island 1/6/2023
B
District of Columbia 4/30/2021
B
South Dakota 2/25/2022
B
Florida 2/12/2021
B
Tennessee 3/1/2024
B
Georgia 6/29/2020
B
Texas 10/9/2020
B
Hawaii 9/8/2021
IA
Texas 3/31/2025
B
Idaho 8/13/2021
B
Utah 9/25/2023
B
Illinois 1/6/2023
B
Virginia 3/1/2024
B
Maryland 9/29/2023
B
Washington 5/29/2020
B
Massachusetts 5/6/2022

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STRATEGIC ADVISERS LLC (CRD#:104555)
155 SEAPORT BLVD, BOSTON, MA 02210-2698
Registered with this firm since 3/31/2025
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
123-127 SOUTH LAKE AVE., PASADENA, CA 91101
155 N LAKE AVENUE, PASADENA, CA 91101
Registered with this firm since 3/30/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/07/2020 - 03/31/2025 FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590) PASADENA, CA
IA
 05/05/2014 - 03/04/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MARINO, CA
B
 04/11/2014 - 03/04/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN MARINO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.