Unclaimed Profile

Marie Yip Chao

DRAGON FINANCIAL AND INVESTMENT GROUP, LLC·SAN MATEO, California

Series 65Clean record9 years registeredDRAGON FINANCIAL AND INVESTMENT GROUP, LLC

1700 S. EL CAMINO REAL, SAN MATEO, CA 94402CRD# 5575607Firm CRD# 282113

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Marie Yip Chao · SAN MATEO, CA

Registration

CRD #5575607 · DRAGON FINANCIAL AND INVESTMENT GROUP, LLC · 9 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DRAGON FINANCIAL AND INVESTMENT GROUP, LLC

MERCER GLOBAL ADVISORS INC.

Feb 2019 – Feb 2021

SAN MATEO, CA

DRAGON FINANCIAL GROUP

Jun 2017 – Jul 2020

San Mateo, CA

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · June 29, 2017

Years registered · 9

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

DRAGON FINANCIAL AND INVESTMENT GROUP, LLC

CRD 282113 · SEC 801-106920

AUM

—

Regulatory assets under management

Employees

Total firm employees

Services offered by DRAGON FINANCIAL AND INVESTMENT GROUP, LLC

Per Form ADV

Financial planning

Client types served by the firm

Per Form ADV

High Net Worth Individuals

View all advisors at DRAGON FINANCIAL AND INVESTMENT GROUP, LLC →

Introduction

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Frequently Asked Questions

What services does Marie Yip Chao offer?

Marie Yip Chao specializes in Financial Planning.

What are Marie Yip Chao's credentials?

Marie Yip Chao is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Marie Yip Chao located?

Marie Yip Chao is based in SAN MATEO, California, last registered with DRAGON FINANCIAL AND INVESTMENT GROUP, LLC.

How does Marie Yip Chao charge for services?

Marie Yip Chao's firm is compensated through percentage of aum, hourly charges, subscription fees, other: semiannual charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is DRAGON FINANCIAL AND INVESTMENT GROUP, LLC?

DRAGON FINANCIAL AND INVESTMENT GROUP, LLC has approximately 7 employees. The firm is registered with the SEC as an investment adviser.

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