Hui-Chen Chen
Hui-Chen Chen is a registered investment advisor at Citigroup Global Markets INC., based in Los Altos, CA, with 23 years of industry experience. Hui-Chen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 56,938 clients with $47B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CGMI offers various investment advisory programs with different fee structures. The CGMI fee is an annualized, fixed, asset-based fee of up to 2% that is negotiable based on a number of factors. Clients may also pay separate fees to third-party investment managers, generally ranging from 0.05% to 1.00% depending on the asset class and investment style. These fees do not include additional charges such as wire transfer fees, taxes, or brokerage commissions for trades executed outside of CGMI or Clearing Firm.
Location
CWM Retail, Sales, 130 Main Street, Los Altos, CA, 94022
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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 Activities
Hui-Chen is a joint landlord for four rental properties in Merced and San Jose, CA, since 2011. Hui-Chen spends minimal time on these investment-related activities.
Employment History
Current Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Primevest Financial Services, INC.
Primevest Financial Services, INC.Broker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Primevest Financial Services, INC.
Primevest Financial Services, INC.Broker
State Registrations16 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.