Albert Chen, financial advisor Columbia SC
81 score

Albert Chen

CRD Number: 5996821
Current Firm: Householder Group Estate & Retirement Specialists

Albert Chen (CRD# 5996821) is an Investment Advisor Representative working at Householder Group Estate & Retirement Specialists in Columbia, SC and has over 4 years of experience in the finance industry. Albert Chen has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Lpl Financial LLC Charlotte, NC Apr 2015 - Current 1
Householder Group Estate & Retirement Specialists Charlotte, NC Apr 2015 - Current 1
Bank Of America, N.a. Columbia, SC Dec 2012 - Mar 2015 2
Merrill Lynch, Pierce, Fenner And Smith Incorporated Columbia, SC Oct 2012 - Mar 2015 2
Zpizza Of Sc, LLC Columbia, SC Mar 2008 - Dec 2012 4
Mutual Of Omaha Investor Services, Inc. Omaha, NE Dec 2011 - Oct 2012 < 1
Mutual Of Omaha Columbia, SC Aug 2011 - Oct 2012 1
Chen Corporation Columbia, SC Mar 2000 - Sep 2011 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2012
S65 NASAA Investment Advisors Law Examination Jul 2012
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Albert Chen
Phone Number: 602-604-0600
Registered State(s):
  • NC
  • SC
  • TX
By the Numbers
  • Total Assets Under Management
    478
    MILLIONS
  • Total Number of Accounts
    2,316
    ACCOUNTS
  • Average Account Value
    $206,434
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NE, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WI, WV

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BADGES
81

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