Kurt Chen is a registered investment advisor at LPL Financial LLC, based in Brea, CA, with 28 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
259 S Randolph Ave Ste 130, Brea, CA, 92821
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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
Kurt is the President of Genuine Financial Services, offering non-variable insurance products since 2014. He also uses Genuine Financial Services as a business entity for tax/investment purposes, dedicating minimal time to this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
1st Discount Brokerage, INC.Broker
Acument Securities, INC.Broker
White Pacific Securities, INC.Broker
Thomas F. White & CO., IncorporatedBroker
Capital Investment Exchange, INC.Broker
State Registrations10 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.