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Simon Kin Man Chung

Investment Adviser Representative at VANDERBILT ADVISORY SERVICES

Woodbury, NYCRD #1181732Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
45 yrs
States Registered
1 states
Exams Passed
2

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Simon Kin Man Chung has worked in the securities industry since 1981. They have passed the Series 63 examination. They are registered to provide investment advisory services in California.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 1 states
California
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 5/25/1988
SIE
Securities Industry Essentials Examination
Passed 10/1/2018

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
$0 - $100,0002.50%
$100,001 - $250,0002.25%
$250,001 - $500,0002.00%
$500,001 - $1,000,0001.75%
$1,000,001 - $2,000,0001.50%
$2,000,001 - $5,000,0001.25%
$5,000,001 - $10,000,0001.00%
$10,000,001 & Up0.75%
Source

Vanderbilt Advisory Services Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

VANDERBILT ADVISORY SERVICESCurrent
9/1/2016Woodbury, NY
BISHOP, ROSEN & CO., INC.
1/3/20138/18/2016New York, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED
8/21/20071/8/2013New York, NY
RYAN BECK & CO.
4/29/20028/21/2007New York, NY
GRUNTAL & CO., L.L.C.
3/24/19875/13/2002New York, NY
GOLDEN HARVEST SECURITIES INC.
11/8/19844/15/1987
WILLIAM C. M. KIVLAN, STABB & MONTAGU LTD
7/23/19818/20/1986

Official records & sources

Data as of June 21, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Simon Kin Man Chung has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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