Chung Wu

CHUNG WU INVESTMENT GROUP

SUGAR LAND, TX 77478

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CRD#: 3175511

Professional summary

Chung Wu, CFP® is a registered financial advisor currently at CHUNG WU INVESTMENT GROUP, LLC located in Sugar Land, Texas.

Chung is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Chung has worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CWIG Asset Management, LLC; Investment Related; 1415 Lake Pointe Pkwy Sugar Land Texas 77478-3999; General Partner of CWIG Total Return Fund, LLC; 2016; 5 hours per month; Manager of CWIG Total Return Fund, LLC. Insurance Agent; Variable Amount Of Time; Lot 99, LLC; Not Investment Related; 1415 Lake Pointe Pkwy Sugar Land Texas 77478-3999; Passive Real Estate Investments; President; 2018; No hours per month; passive investments in real estate properties. Lot 88, LLC; Not Investment Related; 2114 Plantation Bend Dr., Sugar Land Texas 77478; Passive Real Estate Investments; Vice President; 2012; No hours per month; passive investments in real estate properties.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chung Wu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

April 4, 2014 - Present

CHUNG WU INVESTMENT GROUP, LLC

Office #1: 1415 Lake Pointe Parkway, Sugar Land, TX 77478

RIA

CRD#: 170362

SUGAR LAND, TX

Past

May 21, 2010 - April 7, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

SUGAR LAND, TX

Past

May 21, 2010 - April 7, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

SUGAR LAND, TX

Past

January 1, 2008 - May 21, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SUGAR LAND, TX

Past

January 1, 2008 - May 21, 2010

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SUGAR LAND, TX

Past

July 19, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

SUGAR LAND, TX

Past

August 31, 2001 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

SUGAR LAND, TX

Past

April 22, 1999 - September 19, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 3, 1999 - April 21, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CHUNG WU INVESTMENT GROUP, LLC

CHUNG WU INVESTMENT GROUP, LLC | CW INVESTMENT GROUP

CRD#: 170362 / SEC#: 801-130266

RIA

Registered Investment Advisory firm - (5/13/2024 Approved)

Texas

Registered Investment Advisory firm - (5/16/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(4/4/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/25/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/1/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2011

General Securities Principal Examination

Current Firm

CHUNG WU INVESTMENT GROUP, LLC

CHUNG WU INVESTMENT GROUP, LLC | CW INVESTMENT GROUP

CRD#: 170362 / SEC#: 801-130266

RIA

Registered Investment Advisory firm - (5/13/2024 Approved)

Texas

Registered Investment Advisory firm - (5/16/2024 Terminated)

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Contact information

Main Address

1415 Lake Pointe Parkway, Sugar Land, TX 77478

Mailing Address

Phone number

(281) 203-0069

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/30/2025)

Regulatory assets under management

Total Number of Accounts	202
AUM (Assets Under Management)	$ 127,196,111

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Chung Wu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chung Wu's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CHUNG WU INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/19/1999

Series 63

Date: 3/13/1999

Series 31

Date: 3/25/1999

Series 7

Date: 3/1/1999

Series 24

Date: 1/31/2011

Current Firm

CHUNG WU INVESTMENT GROUP, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHUNG WU INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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