Kathleen Chou has been an investment adviser representative at Lifeworks Advisors since November 2024, and is not listed among the firm’s executive officers or direct owners.
Lifeworks Advisors, LLC is a Grand Rapids, MI firm with $967M under management, 1,814 clients and 40 advisers across 37 offices, as of its June 2026 filing.
- Lifeworks Advisors, LLCCurrent– present · 1 yearBrea, CA · Adviser representative · Firm CRD 288255
Investment adviser representative registrations
Kathleen Chou is registered as an investment adviser representative in California, since November 2024.
- CaliforniaSince 20 November 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 October 2024 |
| Series 7 | General Securities Representative Examination | 1 July 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 January 2004 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Kathleen Luu Chou
- CRD
- 4710572
- Firm
- Lifeworks Advisors · CRD 288255
- Office
- 135 S STATE COLLEGE BLVD, #200, Brea, CA 92821
- Registration
- Investment adviser registration
- In the industry since
- November 2024
- Disciplinary history
- Not yet shown here · SEC record
Where does Kathleen Chou work?
Kathleen Chou is an investment adviser representative registered through Lifeworks Advisors, LLC since November 2024, and is not listed among the firm’s executive officers or direct owners.
Is Kathleen Chou a financial advisor?
Yes. Kathleen Chou has a current investment-adviser registration in California, through Lifeworks Advisors since November 2024.
How many years of experience does Kathleen Chou have?
Kathleen Chou has 1 year in the financial industry, since November 2024, across 1 adviser firm.
What exams has Kathleen Chou passed?
Kathleen Chou has passed 3 licensing exams: the Series 63, Series 7 and Series 65. The earliest, the Series 63, was passed in January 2004.
Where is Kathleen Chou based?
Kathleen Chou’s registered office is in Brea, CA.
Is Kathleen Chou registered with FINRA?
No. Kathleen Chou has no current broker registration.
How can I verify Kathleen Chou’s record?
Search CRD 4710572 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kathleen Chou’s full registration record.
