Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Chen is a financial advisor who has been in the industry since 2012. Richard is registered with UBS Financial Services Inc. and is licensed to provide financial advice in multiple states, including Arizona, California, Colorado, Florida, Georgia, Tennessee, and Texas. Richard is a Series 7 and Series 66 licensed professional. Richard holds the Securities Industry Essentials Examination (SIE). Richard also serves as treasurer of the Compass Christian Fellowship board of directors.
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.
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.
See schedule d - miscellaneous
1
2
CA
09/15/2016 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
08/17/2015 - 08/01/2016
CETERA INVESTMENT SERVICES LLC (PASADENA CA)
CA
06/12/2013 - 09/08/2015
CITIGROUP GLOBAL MARKETS INC. (La Canada-Flintridge CA)
CA
08/30/2012 - 06/20/2013
WADDELL & REED, INC. (SHERMAN OAKS CA)
BOTH
Issued 11/08/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2012
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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