Albert ChenCRD 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 5 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.
Lpl Financial LLC
Lpl Financial LLC
Davinci Financial Designs
|Lpl Financial LLC||Charlotte, NC||Apr 2015 - Current||2|
|Householder Group Estate & Retirement Specialists||Charlotte, NC||Apr 2015 - Current||2|
|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|
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
Total Assets Under Management478MILLIONS
Total Number of Accounts2,316ACCOUNTS
Average Account Value$206,434
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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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