Inactive

Wendy Christine Chen

Cibc Private Wealth Advisors, Inc.

Newport Beach, CA

Claim This Profile

Current Employers

Cibc Private Wealth Advisors, Inc.

181 West Madison Street 36Th Floor, Chicago, IL 60602 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-09-12
FL	RA	APPROVED	2023-06-12
WA	RA	APPROVED	2023-02-16
CA	RA	APPROVED	2017-09-29

AZ RA
APPROVED

Since 2023-09-12
FL RA
APPROVED

Since 2023-06-12
WA RA
APPROVED

Since 2023-02-16
CA RA
APPROVED

Since 2017-09-29

Branch Locations

520 Newport Center Drive, Newport Beach, CA 92660 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
At Investment Advisers Inc.	Newport Beach	CA	07/2004	Present

07/2004 → Present

At Investment Advisers Inc.

Newport Beach, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-09-29

S65 Uniform Investment Adviser Law Examination

2017-09-29

View on SEC IAPD

Other Firms

OKAPI CAPITAL, LLC

MIG CAPITAL, LLC

RESEARCH AFFILIATES

PAAMCO PRISMA, LLC

COMPOSITION WEALTH, LLC

J.P. MORGAN SECURITIES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

WILLIAM ERIC BLANTON

Travis L. Shirley

Michael Schanna

Rebekah A. Beekie

WILLIAM BENJAMIN SHAPIRO

Austin Mascorro

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA

OCVC, LLC · NEWPORT BEACH, CA

MIG CAPITAL, LLC · NEWPORT BEACH, CA

RESEARCH AFFILIATES · NEWPORT BEACH, CA

PAAMCO PRISMA, LLC · NEWPORT BEACH, CA

COMPOSITION WEALTH, LLC · Newport Beach, CA

J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA

AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

More in Newport Beach, CA

Reviews

Want to share your experience?

Sign in to leave a review

Loading reviews...

Reach out to this advisor