Herbert Chen, financial advisor Columbus OH
89 score

Herbert Chen

CRD Number: 6253062
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Herbert Chen (CRD# 6253062) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Columbus, OH and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Columbus, OH Jan 2014 - Current 2
Merrill Lynch, Pierce, Fenner & Smith Incorporated Columbus, OH Sep 2013 - Current 3
Huntington Bank Columbus, OH Dec 2009 - Sep 2013 3
National City Bank (pnc) Columbus, OH Jul 2003 - Dec 2009 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2013
Contact Info for Herbert Chen
Phone Number: 800-637-7455
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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