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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

UNICREDIT FINANCIAL SERVICES AND INVESTMENT ADVISOR

CRD 304324

WALNUT, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f729a39e-76cd-af59-feaf-3aba37e7e8f1

Data as of Jul 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 25, 2019 to Jul 21, 2020
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2020-07-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-117680
CRD: 304324
Filings on the tape: 10
First filed: Oct 25, 2019
Latest filed: Jul 21, 2020
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Chiang, Tzuu Pien	Ceo	E	yes	05/2020	May 1, 2020	Jul 21, 2020
LO, PAUL, YEE	Cco	Na	no	08/2019	Oct 25, 2019	Jul 21, 2020
Ren, Guangyan	Secretary	Na	no	05/2020	Oct 25, 2019	Jul 21, 2020

Relationships

Owns (2)

← LO, PAUL, YEEOwnerCCO, ownership code NA, individual
Oct 25, 2019 to presentfactForm ADV
← Ren, GuangyanOwnerSECRETARY, ownership code NA, individual
Oct 25, 2019 to presentfactForm ADV

Controls (1)

← Chiang, Tzuu PienOwnerCEO, ownership code E, individual
May 1, 2020 to presentfactForm ADV

Registered with (1)

← PAUL YEE LOAdvisorregistration: previous registration
Apr 7, 2020 to Mar 26, 2021factForm ADV

Dated events

Occurred
May 1, 2020
Control person joined
Tzuu Pien Chiang (Ceo) appeared on Schedule A of Unicredit Financial Services And Investment Advisor
Form ADVobserved 4 days ago
Occurred
Oct 25, 2019
First Form ADV filing
Unicredit Financial Services And Investment Advisor filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f729a39e-76cd-af59-feaf-3aba37e7e8f1
First observed: Oct 25, 2019
Last observed: Jul 21, 2020 75 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

UNICREDIT FINANCIAL SERVICES AND INVESTMENT ADVISOR

CRD 304324

WALNUT, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f729a39e-76cd-af59-feaf-3aba37e7e8f1

Data as of Jul 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:11 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Chiang, Tzuu Pien

Ceo

yes

05/2020

May 1, 2020

Jul 21, 2020

LO, PAUL, YEE

Cco

08/2019

Oct 25, 2019

Jul 21, 2020

Ren, Guangyan

Secretary

05/2020

Oct 25, 2019

Jul 21, 2020