Chung Wu has been Chief Compliance Officer/Managing Member of Chung Wu Investment Group since February 2014, is a control person of the firm and directly owns 75% or more of it. Chung Wu holds a BBA in Finance from the University of Houston and an MBA in Accounting from the University of Houston.
Chung Wu Investment Group, LLC is a Sugar Land, TX firm with $147M under management, 127 clients and 2 advisers in one office, as of its April 2026 filing.
Chung Wu is Managing Principal of Chung Wu Investment Group, LLC. Wu worked for Coastal Oil & Gas for a few years as a Special Project Accountant and later became a part-owner of a chain of Chinese restaurants in the Houston and Sugar Land area. In early 2014 Wu launched Chung Wu Investment Group, LLC, a Registered Investment Adviser.
Chung Wu’s longest registration is the current one, 12 years at Chung Wu Investment Group since 2014. Before joining Chung Wu Investment Group in 2014, Chung Wu was registered through Wells Fargo Advisors Financial Network, LLC and Wells Fargo Advisors, LLC.
- – present · 12 yearsSugar Land, TX · Adviser representative · Firm CRD 170362
- Wells Fargo Advisors Financial Network, LLC– · 3 yearsSugar Land, TX · Adviser representative · Firm CRD 11025
- Wells Fargo Advisors, LLC– · 2 yearsSugar Land, TX · Adviser representative · Firm CRD 19616
- A. G. Edwards & Sons, Inc.– · 5 yearsSugar Land, TX · Adviser representative · Firm CRD 4
Professional designations
Listed by Chung Wu Investment Group
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Chung Wu is registered as an investment adviser representative in Texas, since April 2014.
- TexasSince 4 April 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 31 January 2011 |
| Series 31 | Futures Managed Funds Examination | 25 March 1999 |
| Series 65 | Uniform Investment Adviser Law Examination | 19 March 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 13 March 1999 |
| Series 7 | General Securities Representative Examination | 1 March 1999 |
- Name
- General Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 3175511
- Firm
- Chung Wu Investment Group · CRD 170362
- Role
- Chief Compliance Officer/Managing Member
- Office
- 1415 LAKE POINTE PARKWAY, Sugar Land, TX 77478
- Registration
- Investment adviser registration
- In the industry since
- July 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cw-investmentgroup.com
Where does Chung Wu work?
Chung Wu has been Chief Compliance Officer/Managing Member of Chung Wu Investment Group, LLC since February 2014, and is a control person of the firm.
Is Chung Wu a financial advisor?
Yes. Chung Wu has a current investment-adviser registration in Texas, through Chung Wu Investment Group since April 2014.
How many years of experience does Chung Wu have?
Chung Wu has 24 years in the financial industry, since July 2002, across 4 adviser firms.
What exams has Chung Wu passed?
Chung Wu has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 31 and Series 24. The earliest, the Series 7, was passed in March 1999.
Where did Chung Wu work before Chung Wu Investment Group?
Before Chung Wu Investment Group, Chung Wu was registered through Wells Fargo Advisors, LLC, January 2008 to May 2010; A. G. Edwards & Sons, Inc., July 2002 to January 2008.
Where is Chung Wu based?
Chung Wu’s registered office is in Sugar Land, TX.
Is Chung Wu registered with FINRA?
No. Chung Wu has no current broker registration.
Is Chung Wu a CFP?
Chung Wu Investment Group lists Chung Wu with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Chung Wu’s record?
Search CRD 3175511 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Chung Wu’s full registration record.