Simon Y. Chung

ALPHA CUBED INVESTMENTS

COSTA MESA, CA 92626

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CRD#: 4460687

Professional summary

Simon Y Chung, CFP®, who also goes by Simon Y Chung, is a registered financial advisor currently at ALPHA CUBED INVESTMENTS, LLC located in Costa Mesa, California.

Simon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Simon has worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Simon Y Chung

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.

1.) Simon Chung - Investment Related - Insurance - Insurance Agent - Start date 06/2004 - 0 hours per month - 0 hours during trading hours - If a client has a need for life insurance as a part of their financial plan, Simon is licensed to find a policy that is the best fit for them.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon Y Chung'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

Experience

Current

March 23, 2021 - Present

ALPHA CUBED INVESTMENTS, LLC

Office #1: 1124 Bristol St., Costa Mesa, CA 92626

RIA

CRD#: 159347

COSTA MESA, CA

Past

June 13, 2019 - March 9, 2021

OSAIC WEALTH, INC.

RIA

CRD#: 23131

TARZANA, CA

Past

June 12, 2019 - March 9, 2021

OSAIC WEALTH, INC.

CRD#: 23131

TARZANA, CA

Past

August 30, 2018 - April 23, 2019

CHURCHILL MANAGEMENT GROUP

RIA

CRD#: 109651

Los Angeles, CA

Past

October 24, 2017 - June 25, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

LOS ANGELES, CA

Past

October 23, 2017 - June 25, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

LOS ANGELES, CA

Past

July 25, 2017 - October 13, 2017

SORRENTO PACIFIC FINANCIAL, LLC

RIA

CRD#: 127787

AMERICAN CANYON, CA

Past

July 25, 2017 - October 13, 2017

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

AMERICAN CANYON, CA

Past

September 26, 2016 - February 15, 2017

CREATIVE PLANNING

RIA

CRD#: 105348

San Pablo, CA

Past

July 11, 2016 - September 23, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN FRANCISCO, CA

Past

July 11, 2016 - September 23, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN FRANCISCO, CA

Past

June 4, 2014 - May 23, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WALNUT CREEK, CA

Past

June 4, 2014 - May 23, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WALNUT CREEK, CA

Past

August 24, 2012 - May 27, 2014

TD AMERITRADE, INC.

RIA

CRD#: 7870

WALNUT CREEK, CA

Past

August 24, 2012 - May 27, 2014

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

WALNUT CREEK, CA

Past

August 24, 2012 - May 27, 2014

TD AMERITRADE, INC.

CRD#: 7870

WALNUT CREEK, CA

Past

August 4, 2011 - August 1, 2012

FISHER INVESTMENTS

RIA

CRD#: 107342

CAMAS, WA

Past

November 17, 2004 - July 25, 2011

WFP SECURITIES

RIA

CRD#: 35098

IRVINE, CA

Past

April 30, 2003 - July 25, 2011

WFP SECURITIES

CRD#: 35098

IRVINE, CA

Past

November 19, 2001 - March 3, 2003

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

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".

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 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

California
(3/23/2021)

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 66

Date: 10/25/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/12/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/27/2022

General Securities Representative Examination

General Industry/Product Exam

Series 6TO

Date: 8/27/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 6/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/17/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

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Contact information

Main Address

1124 Bristol St., Costa Mesa, CA 92626

Mailing Address

Phone number

(800) 701-2457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,786
AUM (Assets Under Management)	$ 3,026,637,539

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

Simon Y. Chung

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CHURCHILL MANAGEMENT GROUP

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

SORRENTO PACIFIC FINANCIAL, LLC

SORRENTO PACIFIC FINANCIAL, LLC

CREATIVE PLANNING

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

FISHER INVESTMENTS

WFP SECURITIES

WFP SECURITIES

PACIFIC SELECT DISTRIBUTORS, LLC

Primary Firm SEC Registration

ALPHA CUBED INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/25/2004

Series 63

Date: 12/12/2003

Series 7TO

Date: 8/27/2022

Series 6TO

Date: 8/27/2022

SIE

Date: 6/25/2018

Series 7

Date: 6/1/2004

Series 6

Date: 11/17/2001

Current Firm

ALPHA CUBED INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CUBED INVESTMENTS, LLC

TRUST BUT VERIFY

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