Financial advisor
Simon Y Chung
At CAPTRUST · Costa Mesa, CA · Scottsdale, AZ
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| Alpha Cubed Investments | Alpha Cubed | CAPTRUST | Acquisition | February 11, 2026 | $3.8B |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| CAPTRUST | Investment adviser | February 16, 2026 | Current |
| CAPFINANCIAL SECURITIES, LLC. | Broker-dealer | February 16, 2026 | Current |
| ALPHA CUBED INVESTMENTS, LLC | Investment adviser | March 23, 2021 | April 30, 2026 |
| ROYAL ALLIANCE ASSOCIATES, INC. | Investment adviser | June 13, 2019 | March 9, 2021 |
| ROYAL ALLIANCE ASSOCIATES, INC. | Broker-dealer | June 12, 2019 | March 9, 2021 |
| CHURCHILL MANAGEMENT GROUP | Investment adviser | August 30, 2018 | April 23, 2019 |
| AMERIPRISE FINANCIAL SERVICES, INC. | Investment adviser | October 24, 2017 | June 25, 2018 |
| AMERIPRISE FINANCIAL SERVICES, INC. | Broker-dealer | October 23, 2017 | June 25, 2018 |
| SORRENTO PACIFIC FINANCIAL, LLC | Investment adviser | July 25, 2017 | October 13, 2017 |
| SORRENTO PACIFIC FINANCIAL, LLC | Broker-dealer | July 25, 2017 | October 13, 2017 |
| CREATIVE PLANNING | Investment adviser | September 26, 2016 | February 15, 2017 |
| AMERIPRISE FINANCIAL SERVICES, INC. | Investment adviser | July 11, 2016 | September 23, 2016 |
| AMERIPRISE FINANCIAL SERVICES, INC. | Broker-dealer | July 11, 2016 | September 23, 2016 |
| AMERIPRISE FINANCIAL SERVICES, INC. | Investment adviser | June 4, 2014 | May 23, 2016 |
| AMERIPRISE FINANCIAL SERVICES, INC. | Broker-dealer | June 4, 2014 | May 23, 2016 |
| AMERIVEST INVESTMENT MANAGEMENT, LLC | Investment adviser | August 24, 2012 | May 27, 2014 |
| TD AMERITRADE, INC. | Investment adviser | August 24, 2012 | May 27, 2014 |
| TD AMERITRADE, INC. | Broker-dealer | August 24, 2012 | May 27, 2014 |
| FISHER INVESTMENTS | Investment adviser | August 4, 2011 | August 1, 2012 |
| WESTERN FINANCIAL ADVISORS | Investment adviser | November 17, 2004 | July 25, 2011 |
| WFP SECURITIES | Broker-dealer | April 30, 2003 | July 25, 2011 |
| PACIFIC SELECT DISTRIBUTORS, INC. | Broker-dealer | November 19, 2001 | March 3, 2003 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.