Curtis Chen
Curtis Chen is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Mateo, CA, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1600 W Hillsdale Blvd Ste 102, San Mateo, CA, 94402
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Curtis is a registered investment advisor with Chen Financial Group, LLC, dedicating about 15% of his time to preparing financial plans. He also works as an insurance agent selling life, health, disability, long-term care, and fixed annuities, and is a licensed mortgage originator, and spends full-time on DBA for LPL Business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Chen Financial Group, LLC
Previous Registrations
Associated Securities CORP.
Associated Planners Investment Advisory INC
Associated Securities CORP.Broker
Fsc Securities Corporation
Fsc Securities CorporationBroker
The Concord Equity Group, LLCBroker
Emissary Financial Group, INC.Broker
Money Concepts Capital CORPBroker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.