James Chen is a registered investment advisor, based in Arcadia, CA, with 11 years of industry experience.
Location
4143 E Live Oak Ave, Arcadia, CA, 91006
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Regulatory History
Clean regulatory record
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
James owns James Chen's Insurance Agency, an insurance agency affiliated with State Farm. He works as an agent, servicing customers and supervising employees, dedicating about half of his time to this activity.
Employment History
Current Registrations
State Farm Investment Management CORP.
March 2021 - Present · 5 yrs 2 mos
State Farm Vp Management CORP.Broker
March 2021 - Present · 5 yrs 2 mos
State Farm Vp Management CORP.
March 2021 - Present · 5 yrs 2 mos
Previous Registrations
State Farm Investment Management CORP.
January 2020 - March 2021 · 1 yr 2 mos
State Farm Vp Management CORP.Broker
March 2019 - March 2021 · 2 yrs
State Farm Vp Management CORP.Broker
February 2015 - July 2017 · 2 yrs 5 mos
Wells Fargo Advisors, LLCBroker
August 2012 - March 2013 · 7 mos
Wells Fargo Advisors, LLC
August 2012 - March 2013 · 7 mos
LPL Financial LLCBroker
October 2011 - March 2012 · 5 mos
LPL Financial LLC
October 2011 - March 2012 · 5 mos
Uvest Financial Services Group, INC.Broker
September 2011 - October 2011 · 1 mo
Uvest Financial Services Group, INC.
September 2011 - October 2011 · 1 mo
UBS Financial Services INC.
July 2008 - October 2009 · 1 yr 3 mos
UBS Financial Services INC.Broker
June 2008 - October 2009 · 1 yr 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.