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Feed of 09/14/2026
Also filed as Wayne Chou
At current firm
9 y
since Nov 3, 2016
In the industry
29 y
since Oct 11, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Nov 3, 2016 · Pasadena, Ca
- H••• S••••••••• •••• I••• BD affiliatedDec 2, 2015 to Jul 11, 2016 · Walnut, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2015 to Oct 14, 2015 · Rancho Cucamonga, Ca
- T• A••••••••• I••• formerJul 30, 2003 to Feb 1, 2006 · Monterey Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to M••••• S••••••left Jul 11, 2016, registered Nov 3, 2016 (115 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Oct 14, 2015, registered Dec 2, 2015 (49 days) · Other
- T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 1, 2006, registered Mar 24, 2015 (3338 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address