Unclaimed Profile

Stephen Yen Ling Chow

BLUE OCEAN STRATEGIC CAPITAL, LLC·SYRACUSE, New York

SIE, Series 000, Series 1, Series 5, Series 7, Series 15, Series 63, Series 659 years registeredBLUE OCEAN STRATEGIC CAPITAL, LLC

443 NORTH FRANKLIN STREET, SYRACUSE, NY 13204-1441CRD# 46135Firm CRD# 112777

Profile Verification

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

Identity

Stephen Yen Ling Chow · SYRACUSE, NY

Registration

CRD #46135 · BLUE OCEAN STRATEGIC CAPITAL, LLC · 9 years registered

Brand Profile

Not yet started

Career History

PINNACLE INVESTMENTS, LLC

Oct 2016 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 000

Series 1

Series 5

Series 7

Series 15

Series 63

Series 65

Registration record

First registered · October 7, 2016

Years registered · 9

Disclosure History

2008Customer Dispute·Withdrawn

2006Customer Dispute·Denied

2006Customer Dispute·Settled

2003Customer Dispute·Settled

2002Customer Dispute·Denied

2001Customer Dispute·Denied

2001Customer Dispute·Settled

10 disclosure events on file · Verify on FINRA BrokerCheck →

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

Firm Overview

Firm

BLUE OCEAN STRATEGIC CAPITAL, LLC

CRD 112777 · SEC 801-60304

AUM

$136M

Regulatory assets under management

Employees

676 client accounts

Services offered by BLUE OCEAN STRATEGIC CAPITAL, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at BLUE OCEAN STRATEGIC CAPITAL, LLC →

Introduction

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Frequently Asked Questions

What services does Stephen Yen Ling Chow offer?

Stephen Yen Ling Chow specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SYRACUSE, New York for a consultation.

What are Stephen Yen Ling Chow's credentials?

Stephen Yen Ling Chow is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Yen Ling Chow located?

Stephen Yen Ling Chow is based in SYRACUSE, New York, working with BLUE OCEAN STRATEGIC CAPITAL, LLC. Their office serves clients in the SYRACUSE metropolitan area and surrounding communities.

How does Stephen Yen Ling Chow charge for services?

Stephen Yen Ling Chow's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BLUE OCEAN STRATEGIC CAPITAL, LLC?

BLUE OCEAN STRATEGIC CAPITAL, LLC has approximately 7 employees and manages $136M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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