Thomas Chen has been an investment adviser representative at Chung Wu Investment Group since May 2019, and is not listed among the firm’s executive officers or direct owners.
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.
- – present · 7 yearsSugar Land, TX · Adviser representative · Firm CRD 170362
Investment adviser representative registrations
Thomas Chen is registered as an investment adviser representative in Texas, since May 2019.
- TexasSince 21 May 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 May 2019 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Thomas Li Chen
- CRD
- 7058971
- Firm
- Chung Wu Investment Group · CRD 170362
- Office
- 1415 LAKE POINTE PARKWAY, Sugar Land, TX 77478
- Registration
- Investment adviser registration
- In the industry since
- May 2019
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Chen work?
Thomas Chen is an investment adviser representative registered through Chung Wu Investment Group, LLC since May 2019, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Chen a financial advisor?
Yes. Thomas Chen has a current investment-adviser registration in Texas, through Chung Wu Investment Group since May 2019.
How many years of experience does Thomas Chen have?
Thomas Chen has 7 years in the financial industry, since May 2019, across 1 adviser firm.
What exams has Thomas Chen passed?
Thomas Chen passed the Series 65 in May 2019.
Where is Thomas Chen based?
Thomas Chen’s registered office is in Sugar Land, TX.
Is Thomas Chen registered with FINRA?
No. Thomas Chen has no current broker registration.
How can I verify Thomas Chen’s record?
Search CRD 7058971 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Chen’s full registration record.