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 a financial advisor at Cetera Investment Advisers LLC. Steve has been in the financial industry for over 23 years and has a wide range of experience working with individuals, families, and businesses. Steve has been registered with the Securities and Exchange Commission (SEC) and FINRA since 2000. Steve holds a Series 7, 9, 63, and 65 licenses. Steve's prior employment history includes CUSO Financial Services, L.P., U.S. Bancorp Investments, Inc., Cetera Investment Services LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc., HSBC Securities (USA) Inc., Uvest Financial Services Group, Inc., CitiCorp Investment Services, and WM Financial Services, Inc.
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 04/26/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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