Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kurt? Claim Your ProfileKurt Chen is an investment advisor representative with LPL Financial LLC. Kurt has been in the industry since 1997. Kurt is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Kurt has also held previous positions with National Planning Corporation, Woodbury Financial Services, Inc., 1st Discount Brokerage, Inc., White Pacific Securities, Inc., Acument Securities, Inc., Thomas F. White & Co., Incorporated and Capital Investment Exchange, Inc.. Kurt is registered in multiple states and holds several licenses including Series 63, Series 65, Series 7 and Series 24.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
07/18/2024 - Present
LPL Financial LLC (BREA CA)
CA
03/17/2014 - 11/29/2017
NATIONAL PLANNING CORPORATION (BREA CA)
CA
12/06/2002 - 03/21/2014
WOODBURY FINANCIAL SERVICES, INC. (BREA CA)
FL
08/21/2002 - 12/31/2002
1ST DISCOUNT BROKERAGE, INC. (LAKE WORTH FL)
CA
07/31/2000 - 12/06/2002
WHITE PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
CA
11/19/2001 - 08/21/2002
ACUMENT SECURITIES, INC. (SAN FRANCISCO CA)
CA
04/15/1999 - 07/31/2000
THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)
CA
08/11/1997 - 05/10/1999
CAPITAL INVESTMENT EXCHANGE, INC. (SAN FRANCISCO CA)
IA
Issued 12/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/09/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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