Abigail Chao has been an investment adviser representative at Cosmos Wealth since August 2026, and is not listed among the firm’s executive officers or direct owners.
Cosmos Wealth, LLC is a La Jolla, CA firm with $191M under management, 60 clients and 2 advisers in one office, as of its September 2026 filing.
Abigail Chao is Paraplanner of Cosmos Wealth, based in La Jolla, CA. Chao brings over a decade in wealth management.
Abigail Chao’s longest registration was 4 years at Ameriprise Financial Services, LLC (2020–2024). Before joining Cosmos Wealth in 2026, Abigail Chao was registered through Tru Independence Asset Management 2, LLC and Ameriprise Financial Services, LLC.
- Cosmos Wealth, LLCCurrent– present · under a yearGlendora, CA · Adviser representative · Firm CRD 341781
- Tru Independence Asset Management 2, LLC– · 1 yearGlendora, CA · Adviser representative · Firm CRD 309098
- Ameriprise Financial Services, LLC– · 4 yearsCity of Industry, CA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Abigail Chao is registered as an investment adviser representative in California, since August 2026.
- CaliforniaSince 11 August 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 19 November 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 1 June 2018 |
- Name
- Uniform Combined State Law Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Full name
- Abigail Flores Chao
- CRD
- 6634409
- Firm
- Cosmos Wealth · CRD 341781
- Office
- Glendora, CA
- Registration
- Investment adviser registration
- In the industry since
- May 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cosmoswealth.com
Where does Abigail Chao work?
Abigail Chao is an investment adviser representative registered through Cosmos Wealth, LLC since August 2026, and is not listed among the firm’s executive officers or direct owners.
Is Abigail Chao a financial advisor?
Yes. Abigail Chao has a current investment-adviser registration in California, through Cosmos Wealth since August 2026.
How many years of experience does Abigail Chao have?
Abigail Chao has 8 years in the financial industry, since May 2018, across 3 adviser firms.
What exams has Abigail Chao passed?
Abigail Chao has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in June 2018. FINRA credited Abigail Chao with the SIE, which began in October 2018.
Where did Abigail Chao work before Cosmos Wealth?
Before Cosmos Wealth, Abigail Chao was registered through Ameriprise Financial Services, LLC, August 2020 to November 2024.
Where is Abigail Chao based?
Abigail Chao’s registered office is in Glendora, CA.
Is Abigail Chao registered with FINRA?
No. Abigail Chao has no current broker registration.
How can I verify Abigail Chao’s record?
Search CRD 6634409 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Abigail Chao’s full registration record.
- Matthew SwendimanChief Compliance Officer
Jeremy KeatingManaging Member
Daniel MauserManaging Member