Lisa Chen, financial advisor San Francisco CA
83 score

Lisa Chen

CRD Number: 3000468
Current Firm: Schwab Private Client Investment Advisory, Inc.

Lisa Chen (CRD# 3000468) is an Investment Advisor Representative working at Schwab Private Client Investment Advisory, Inc. in San Francisco, CA and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Rental Property San Francisco, CA Feb 2012 - Current 4
Schw Private Client Invest Advisory Inc. San Francisco, CA Jan 2012 - Current 4
Charles Schwab & Company, Inc. San Francisco, CA Dec 1997 - Current 19
Charles Schwab Bank San Francisco, CA Feb 2005 - Dec 2011 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1998
S66 NASAA Uniform Combined State Law Examination Feb 2006
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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Lisa Chen
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    67,823
    MILLIONS
  • Total Number of Accounts
    155,246
    ACCOUNTS
  • Average Account Value
    $436,876
Compensation Options
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

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

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BADGES
83

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