Simon Y Chung

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (7)

Series 66Series 63Series 7TOSeries 6TOSIESeries 7Series 6

Registered states (2)

California · Texas

Years in the industry (source record)

25

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Captrust

Firm CRD

175112

SEC number

801-62193

Assets under management

$1.2T as of May 27, 2026

Website

www.linkedin.com/COMPANY/CAPTRUST ↗

Phone

919-870-6822

Firm location

Raleigh, NC, 27609

Employment history (22)

From the source registration record · current first

• Capfinancial Securities, LLC.Current

  Costa Mesa, CA · BD capacity
  Feb 16, 2026 → present
• CaptrustCurrent

  Costa Mesa, CA · IA capacity
  Feb 16, 2026 → present
• Alpha Cubed Investments, LLC

  IA capacity
  Mar 23, 2021 → Apr 30, 2026
• Royal Alliance Associates, Inc.

  IA capacity
  Jun 13, 2019 → Mar 9, 2021
• Royal Alliance Associates, Inc.

  BD capacity
  Jun 12, 2019 → Mar 9, 2021
• Churchill Management Group

  IA capacity
  Aug 30, 2018 → Apr 23, 2019
• Ameriprise Financial Services, Inc.

  IA capacity
  Oct 24, 2017 → Jun 25, 2018
• Ameriprise Financial Services, Inc.

  BD capacity
  Oct 23, 2017 → Jun 25, 2018
• Sorrento Pacific Financial, LLC

  BD capacity
  Jul 25, 2017 → Oct 13, 2017
• Sorrento Pacific Financial, LLC

  IA capacity
  Jul 25, 2017 → Oct 13, 2017
• Creative Planning

  IA capacity
  Sep 26, 2016 → Feb 15, 2017
• Ameriprise Financial Services, Inc.

  BD capacity
  Jul 11, 2016 → Sep 23, 2016
• Ameriprise Financial Services, Inc.

  IA capacity
  Jul 11, 2016 → Sep 23, 2016
• Ameriprise Financial Services, Inc.

  BD capacity
  Jun 4, 2014 → May 23, 2016
• Ameriprise Financial Services, Inc.

  IA capacity
  Jun 4, 2014 → May 23, 2016
• Td Ameritrade, Inc.

  BD capacity
  Aug 24, 2012 → May 27, 2014
• Td Ameritrade, Inc.

  IA capacity
  Aug 24, 2012 → May 27, 2014
• Amerivest Investment Management, LLC

  IA capacity
  Aug 24, 2012 → May 27, 2014
• Fisher Investments

  IA capacity
  Aug 4, 2011 → Aug 1, 2012
• Western Financial Advisors

  IA capacity
  Nov 17, 2004 → Jul 25, 2011
• Wfp Securities

  BD capacity
  Apr 30, 2003 → Jul 25, 2011
• Pacific Select Distributors, Inc.

  BD capacity
  Nov 19, 2001 → Mar 3, 2003

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.