Yen Chen is a registered investment advisor at Cetera Investment Advisers LLC, based in Pasadena, CA, with 13 years of industry experience. Yen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
1001 Fair Oak Ave S, Pasadena, CA, 91030
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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 →Employment History
Current Registrations
Cetera Investment Services LLCBroker
November 2023 - Present · 2 yrs 6 mos
Cetera Investment Advisers LLC
November 2023 - Present · 2 yrs 6 mos
Previous Registrations
LPL Financial LLCBroker
July 2023 - November 2023 · 4 mos
LPL Financial LLC
July 2023 - November 2023 · 4 mos
Bancwest Investment Services, INC. (bwis)
June 2018 - July 2023 · 5 yrs 1 mo
Bancwest Investment Services, INC.Broker
June 2018 - July 2023 · 5 yrs 1 mo
Ace Diversified Capital, INC.Broker
April 2014 - March 2017 · 2 yrs 11 mos
Wells Fargo Advisors, LLC
January 2011 - May 2012 · 1 yr 4 mos
Wells Fargo Advisors, LLCBroker
January 2011 - May 2012 · 1 yr 4 mos
Wells Fargo Investments, LLC
October 2009 - January 2011 · 1 yr 3 mos
Wells Fargo Investments, LLCBroker
July 2009 - January 2011 · 1 yr 6 mos
State Registrations3 states
CACONV
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.