Curtis S Chen

Current Employers

Employment History

• 03/2009 → Present
  Chen Financial Group, Llc
  Belmont, CA
• 09/2009 → Present
  Lpl Financial Llc
  Belmont, CA

Previous Registrations

• 2008-12-15 → 2009-10-13
  Associated Planners Investment Advisory Inc
  Boston, MA
• 2008-12-16 → 2009-09-08
  Associated Securities Corp.
  San Mateo, CA
  Belmont, CA
• 2003-04-04 → 2008-12-16
  Fsc Securities Corporation
  Belmont, CA

Other Businesses

(1) 11/12/2009: Chen Financial Group, LLC - Inv Rel - At Reported Business Location(s) - Registered Investment Advisor - 0 Hrs/Mth - 0 Hrs During Trading -15% OF TIME SPENT - DUTIES INCLUDE PREPARING AND PRESENTING FINANCIAL PLANS TO CLIENTS (2) 04/12/2010: NO BUSINESS NAME - INV REL - 1116 LORD NELSON LANE, FOSTER CITY, CA 94002 - Real Estate Rental - 0 Hrs/Mth - 0 Hrs During Trading. (3) 09/23/2014: NO BUSINESS NAME - Not Inv Rel - Home Based - Outside/W-2 Employment- Start Date: 09/01/2014 - 3 Hrs/Mth - 0 Hrs During Trading. - Hockey Referee (4) 10/21/2014: NO BUSINESS NAME - Inv Rel - At Reported Business Location(s)- Non-Variable Insurance- Start Date:04/07/2010 - 5 Hrs/Mth - 5 Hrs During Trading.- Insurance Agent. INS TYPES: LIFE, HEALTH, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES (5) 07/15/2015: Gradient Home Mortgage, LLC - Not Inv Rel - 1070 Sixth Ave, Suite 104, Belmont, CA 94002 - Mortgage/Real Estate Services - Start Date: 07/05/2015 - 3 Hrs/Mth - 1 Hrs During Trading.- Licensed as California Mortgage Originator (6) 7/22/2020 - L 36 Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 07/01/2020 - 25 Hours Per Month/20 Hours During Securities Trading. (7) 7/14/2021 - Consult 401k - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 7/7/2021 - 6 Hours Per Month/6 Hours During Securities Trading. (8) 06/04/2024 - Chen Financial Group, LLC - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 4/18/2024 - 160 Hrs/Mo; 120 Hrs During Trading. 9) 07/21/2025 - LPLCFG.com - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:07/15/2025 - 0 Hrs/Mo; 0 Hrs During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-01-05
• S63 Uniform Securities Agent State Law Examination
  1996-09-11

Designations