Anthony Chen

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2013 → 11/2018
  Jhfn Sii
  Westbury, NY
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Melville, NY

Other Businesses

1. FAMILY BUSINESS RADIO POSITION: Host NATURE: Podcast INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/13/2019 ADDRESS: 5225 Windward Pkwy, Alpharetta GA 30004, United States DESCRIPTION: Interview guests who consist of business owners and professionals who advise and service businesses. 2. INSURANCE BROKER - ANTHONY CHEN POSITION: Agent NATURE: Sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/19/2016 ADDRESS: 575 Broadhollow Rd, Melville NY 11747, United States DESCRIPTION: Solicitation and service for fixed insurance. 3. EXECUTOR POSITION: Executor NATURE: Titled as Executor on the parent's Will. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 36 Beatrice Ave., Syosset NY 11791, United States DESCRIPTION: To carry out the instructions written out in my parents' Last Will and Testament 4. LIGHTHOUSE FINANCIAL NETWORK, LLC POSITION: Investment Adviser Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/01/2015 ADDRESS: 575 Broadhollow Rd, Melville NY 11747, United States DESCRIPTION: Investment adviser representative for Lighthouse Financial Network, LLC, an independent firm of Osaic Wealth Inc. 5. XPX - EXIT PLANNING EXCHANGE POSITION: Board Member and President NATURE: Non-profit - A networking and professional association for advisors that work with business owners in their succession planning. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 07/07/2023 ADDRESS: 3629 Childers Way, NE, Roswell GA 30075, United States DESCRIPTION: - To help facilitate table discussions at luncheons.- Recruit and retain new members for the association.- Assign pairings for networking offline every month.- Listen to feedback and revise or design new networking programs and events for the association.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-04-20
• S63 Uniform Securities Agent State Law Examination
  2008-07-31