Jane Chen, financial advisor Tempe AZ
90 score

Jane Chen

CRD Number: 5400841
Current Firm: Transamerica Financial Advisors, Inc.

Jane Chen (CRD# 5400841) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Tempe, AZ and has over 4 years of experience in the finance industry.

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Company Name Location Dates Years
Spirit Dental Lincoln, NE Sep 2017 - Current < 1
Healthcare Solutions Team Gilbert, AZ Oct 2016 - Current 1
Wsb Phoenix Financial Center, LLC Tempa, AZ Apr 2016 - Current 2
Jeunesse Global Altamonte, FL Jan 2016 - Current 2
Empower Brokerage Fort Worth, TX Aug 2015 - Current 2
Transamerica Financial Advisors, Inc. Tucson, AZ Feb 2014 - Current 4
Heartland Institute Of Financial Education Greenwood Village, CO Nov 2013 - Current 4
World Financial Group, Inc. Tucson, AZ Oct 2013 - Current 4
Allstar Financial Advisors, LLC Phoenix, AZ Jul 2013 - Oct 2013 < 1
Allstar Financial Group, LLC Phonenix, AZ May 2012 - Oct 2013 1
Realty One Group Tempe, AZ Nov 2010 - Dec 2012 2
Keller Williams Arizona Realty Scottsdale, AZ Jul 2008 - Oct 2010 2
Realty Usa Southwest, Inc. Phoenix, AZ May 2005 - Jun 2008 3
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jul 2013
S63 Uniform Securities State Law Examination Sep 2015
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 Jane C. Chen
Phone Number: (602) 703-8121
Registered State(s):
  • AZ
  • CA
By the Numbers
  • Total Assets Under Management
    969
    MILLIONS
  • Total Number of Accounts
    14,750
    ACCOUNTS
  • Average Account Value
    $65,719
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
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, VI, VT, WA, WI, WV

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BADGES
90

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