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Jessie Chen

LPl Financial LLC

Pasadena, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05

Branch Locations

70 S. Lake Ave. Ste. 700, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley Los Angeles CA 08/2012 05/2019
Western International Securities, Inc. Pasadena CA 07/2019 Present
Lpl Financial Llc Pasadena CA 06/2025 Present
  • 08/2012 → 05/2019
    Morgan Stanley
    Los Angeles, CA
  • 07/2019 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Pasadena, CA
Previous Registrations
Other Businesses

1) Carnegie Wealth Management; Investment-Related; DBA for Securities Business 2) Moy Wealth Advisors LLC; Investment-Related; DBA for Securities Business

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-07
  • S66 Uniform Combined State Law Examination
    2008-11-07
Other Names
  • Jessie Ying Chen
  • Ying Chen Price
  • Ying C. Price
  • Jessie Y. Chen
  • Jessie Y. Chen

View on SEC IAPD

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Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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