Unclaimed Profile

Walter Rae Chao

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

SIE, Series 6, Series 7, Series 24, Series 26, Series 63CFP ChFC18 years registeredDRAGON FINANCIAL AND INVESTMENT GROUP, LLC

1700 S. EL CAMINO REAL #501, SAN MATEO, CA 94402CRD# 4665787Firm CRD# 157936

Profile Verification

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

Identity

Walter Rae Chao · SAN MATEO, CA

Registration

CRD #4665787 · DRAGON FINANCIAL AND INVESTMENT GROUP, LLC · 18 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: DRAGON FINANCIAL AND INVESTMENT GROUP, LLC

DRAGON FINANCIAL GROUP

Jan 2016 – Jan 2016

SAN MATEO, CA

DRAGON FINANCIAL GROUP

Aug 2011 – Jan 2016

SAN MATEO, CA

LPL FINANCIAL LLC

Aug 2007 – Sep 2012

SAN MATEO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 26

Series 63

Registration record

First registered · August 31, 2007

Years registered · 18

Professional designations · CFP, ChFC

Disclosure History

2015Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

DRAGON FINANCIAL AND INVESTMENT GROUP, LLC

CRD 157936 · SEC 801-79669

AUM

$134M

Regulatory assets under management

Employees

911 client accounts

Services offered by DRAGON FINANCIAL AND INVESTMENT GROUP, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

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 Walter Rae Chao offer?

Walter Rae Chao specializes in Financial Planning, Investment Management.

What are Walter Rae Chao's credentials?

Walter Rae Chao holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Walter Rae Chao located?

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

How does Walter Rae Chao charge for services?

Walter Rae 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 17 employees and manages $134M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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