Yu-chin Chen, financial advisor Arcadia CA
84 score

Yu-chin Chen

CRD Number: 3041928
Current Firm: Citigroup Global Markets Inc.

Yu-chin Chen (CRD# 3041928) is an Investment Advisor Representative working at Citigroup Global Markets Inc. in Arcadia, CA and has over 19 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.

Similar Advisors
Leighann Miko, financial advisor Arcadia CA
Leighann Miko
CRD# 6093393
Equalis Financial
Score
106
Similar Advisors
Morris Amiri, financial advisor Arcadia CA
Morris M. Amiri
CRD# 4266581
Dash Investments
Score
103
Similar Advisors
Brandon Averill, financial advisor Arcadia CA
Brandon L. Averill
CRD# 5781614
Penniall & Associates
Score
103
Professional Designations
Company Name Location Dates Years
Citigroup Arcadia, CA Nov 2016 - Current 1
Wells Fargo Advisors, LLC San Jose, CA Jul 2015 - Nov 2016 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: 212-816-6000
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    20,231
    MILLIONS
  • Total Number of Accounts
    41,470
    ACCOUNTS
  • Average Account Value
    $487,847
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
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)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • 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, WY

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
BADGES
84

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.