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Feng Chen

Cetera Investment Services LLC

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About Feng Chen

Feng Chen is a financial professional registered with Cetera Investment Services LLC. Feng is a registered representative in California and holds the Series 6, 7, 63, and SIE licenses. Feng has been in the financial industry since February 28, 2018. Prior to joining Cetera Investment Services LLC, Feng was a financial advisor at HSBC Securities (USA) INC.

Firm Information

Feng Chen is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Feng Chen’s Registration & Firm History

CA

08/23/2021 - Present

Cetera Investment Services LLC (LOS ANGELES CA)

CA

07/12/2018 - 08/05/2021

HSBC SECURITIES (USA) INC. (SAN GABRIEL CA)

CA

06/21/2017 - 11/17/2017

HSBC SECURITIES (USA) INC. (SAN GABRIEL CA)

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Licenses & Designations

BC

Issued 08/22/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/14/2021

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/2017

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Feng Chen.
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