Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steve? Claim Your ProfileSteve Ching Huang Chen is an Investment Advisor Representative at Cetera Investment Advisers LLC. Steve has been in the securities industry since February 22, 2000. Steve holds the Series 63, Series 65, Series 7 and Series 9 licenses. Cetera Investment Advisers LLC is a Registered Investment Adviser that provides financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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.
A percentage of the total value of assets under management is charged.
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CA
01/12/2023 - Present
Cetera Investment Advisers LLC (ARCADIA CA)
CA
04/08/2014 - 07/25/2014
CUSO FINANCIAL SERVICES, L.P. (LOS ANGELES CA)
CA
09/06/2013 - 04/09/2014
U.S. BANCORP INVESTMENTS, INC. (LAKE FOREST CA)
CA
10/28/2009 - 09/09/2013
CETERA INVESTMENT SERVICES LLC (CITY OF INDUSTRY CA)
CA
10/23/2009 - 10/29/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
CA
10/01/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
10/23/2006 - 09/30/2008
HSBC SECURITIES (USA) INC. (ROWLAND HEIGHTS CA)
CA
08/25/2005 - 10/06/2006
UVEST FINANCIAL SERVICES GROUP, INC. (ARCADIA CA)
NY
05/19/2003 - 08/12/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
01/20/2000 - 05/19/2003
WM FINANCIAL SERVICES, INC. (IRVINE CA)
IA
Issued 4/26/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/2/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/4/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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