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Susan tzu-ling Chen

Charles Schwab & CO., Inc.

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About Susan tzu-ling Chen

Susan tzu-ling Chen is a financial professional with over 20 years of experience in the industry. Susan tzu-ling Chen has been registered with Charles Schwab & Co., Inc. since 2022, and has previously worked with TD AMERITRADE, INC. and UBS FINANCIAL SERVICES INC. Susan tzu-ling Chen holds Series 63, 66 and 7 licenses. Susan tzu-ling Chen is also registered with the state of California, and several other states, as an investment advisor representative. Susan tzu-ling Chen's areas of expertise include financial planning and other investment advisory services.

Firm Information

Susan tzu-ling Chen is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Susan tzu-ling Chen’s Registration & Firm History

CA

01/26/2022 - Present

Charles Schwab & CO., Inc. (Cupertino CA)

CA

09/01/2011 - 05/11/2024

TD AMERITRADE, INC. (Cupertino CA)

CA

12/03/2010 - 09/06/2011

UBS FINANCIAL SERVICES INC. (PALO ALTO CA)

CA

06/04/1999 - 12/17/2010

CHARLES SCHWAB & CO., INC. (SAN MATEO CA)

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Licenses & Designations

BOTH

Issued 03/14/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/02/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Susan tzu-ling Chen.
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