Yu-chin Chen, financial advisor San Jose CA
84 score

Yu-chin Chen

CRD Number: 3041928
Current Firm: Wells Fargo Advisors, LLC

Yu-chin Chen (CRD# 3041928) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in San Jose, CA and has over 18 years of experience in the finance industry. Yu-chin 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
Wells Fargo Advisors, LLC San Jose, CA Jul 2015 - Current 1
Cetera Investment Advisers LLC Cupertino, CA Jan 2014 - Jul 2015 1
Cetera Investment Services Saint Cloud, MN Mar 2013 - Jul 2015 2
East West Bank Cupertino, CA Mar 2013 - Jul 2015 2
Wells Fargo Advisors Palo Alto, CA May 2012 - Feb 2013 < 1
Chase Investment Services Corp San Jose, CA Jun 2011 - May 2012 < 1
Financial Network Inv. Corp. Rowland Heights, CA Jul 2003 - Jun 2011 7
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination May 1998
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 Yu-chin G. Chen
Phone Number: 314-875-3000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    372,113
    MILLIONS
  • Total Number of Accounts
    1,339,368
    ACCOUNTS
  • Average Account Value
    $277,827
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 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, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
84

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