Mark Chen, financial advisor Norwalk CA
93 score

Mark Chen

CRD Number: 5317395
Current Firm: Unionbanc Investment Services, LLC

Mark Chen (CRD# 5317395) is an Investment Advisor Representative working at Unionbanc Investment Services, LLC in Norwalk, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
Unionbanc Investment Services LLC Arcadia, CA Jun 2017 - Current < 1
Hsbc Bank Usa, N.a. Temple City, CA Aug 2016 - Jun 2017 < 1
Hsbc Bank Usa, N.a. Temple City, CA Apr 2016 - Aug 2016 < 1
Hsbc Securities (usa) Inc. Temple City, CA Apr 2015 - Aug 2016 1
Edward Jones St Louis, MO Jul 2014 - Mar 2015 < 1
Us Bank Hacienda Heights, CA Dec 2012 - Jun 2014 1
Hsbc Bank Usa San Gabriel, CA Apr 2012 - Dec 2012 < 1
Us Bank Los Angeles, CA Aug 2009 - Apr 2012 2
Citibank San Gabriel, CA Nov 2008 - Aug 2009 < 1
Metlife Securities, Inc. San Gabriel, CA Jun 2007 - Nov 2008 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2014
S63 Uniform Securities State Law Examination May 2012
S65 NASAA Investment Advisors Law Examination Oct 2008
Contact Info for Mark C. Chen
Phone Number: 800-634-1100
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,188
    MILLIONS
  • Total Number of Accounts
    3,842
    ACCOUNTS
  • Average Account Value
    $309,327
Compensation Options
  • A percentage of assets under your management
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)
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, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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