James Chau, financial advisor Vienna VA

James Chau

CRD Number: 1331446
Current Firm: Mml Investors Services, LLC

James Chau (CRD# 1331446) is an Investment Advisor Representative working at Mml Investors Services, LLC in Vienna, VA and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Mml Investors Services, LLC Vienna, VA Nov 2019 - Current 1
Massmutual Life Insurance Company Vienna, VA Oct 2019 - Current 1
New York Life Insurance Co Vienna, VA Jun 2018 - Oct 2019 1
Nylife Securities LLC Vienna, VA Jun 2018 - Oct 2019 1
Mml Investors Services Fairfax, VA Feb 2018 - May 2018 < 1
Massmutual Fairfax, VA Dec 2017 - May 2018 < 1
New York Life Insurance Vienna, VA Dec 2016 - Jan 2018 1
Nylife Securities LLC Vienna, VA Dec 2016 - Jan 2018 1
Encore Capital Management LLC Haymarket, VA Jan 1995 - Nov 2016 21
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Dec 2017
S63 Uniform Securities State Law Examination Feb 2017
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for James Chau
Phone Number: (413)737-8400
Registered State(s):
  • VA
By the Numbers
  • Total Assets Under Management
    39,563
    MILLIONS
  • Total Number of Accounts
    206,878
    ACCOUNTS
  • Average Account Value
    $191,239
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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