Vu Chau, financial advisor Walnut Creek CA
65 score

Vu Chau

CRD Number: 5960097
Current Firm: Principal Securities, Inc.

Vu Chau (CRD# 5960097) is an Investment Advisor Representative working at Principal Securities, Inc. in Walnut Creek, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Principal Life Insurance Company Walnut Creek, CA Aug 2014 - Current 2
Princor Financial Services Corporation Walnut Creek, CA Aug 2014 - Current 2
Morgan Stanley Smith Barney Walnut Creek, CA Sep 2012 - Aug 2014 1
Axa Advisors, LLC New York, NY Sep 2011 - Sep 2012 1
Leader Universal Industries Berkeley, CA Aug 2007 - Jul 2011 3
Airset, Inc. Berkeley, CA Jan 2008 - Nov 2010 2
Uc Berkeley Berkeley, CA Aug 2002 - Aug 2007 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2011
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Vu H. Chau
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
65

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