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Raymond Chen

Fisher Investments

Plano, TX

Tampa, FL

CRD 7294839

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Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • PORTFOLIO ASSESSMENT

From the firm’s Form ADV. Read the guides:

Current Employers
Fisher Investments

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-09-19
FL RA APPROVED 2022-08-23
CA RA APPROVED 2020-10-30
  • TX RA
    APPROVED_RES
    Since 2023-09-19
  • FL RA
    APPROVED
    Since 2022-08-23
  • CA RA
    APPROVED
    Since 2020-10-30

Branch Locations

6500 International Pkwy Ste 2050, Plano, TX 75093-8222 • United States

3109 W Martin L King Jr Blvd Suite 600, Tampa, FL 33607 • 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
OrganizationCityStateFromTo
Fisher Investments San Mateo CA 07/2020 Present
Fisher Investments San Mateo CA 07/2018 07/2020
University Of Florida Gainesville FL 08/2014 05/2018
Tatu Sushi Llc Gainesville FL 08/2016 10/2016
Aeon Life Insurance Dalian, Lioaning 05/2016 09/2016
  • 07/2020 → Present
    Fisher Investments
    San Mateo, CA
  • 07/2018 → 07/2020
    Fisher Investments
    San Mateo, CA
  • 08/2014 → 05/2018
    University Of Florida
    Gainesville, FL
  • 08/2016 → 10/2016
    Tatu Sushi Llc
    Gainesville, FL
  • 05/2016 → 09/2016
    Aeon Life Insurance
    Dalian, Lioaning
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-10-30
  • S65 Uniform Investment Adviser Law Examination
    2020-10-30
Designations
  • Chartered Financial Analyst
Other Names
  • Ray Chen

View on SEC IAPD

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