Yen Chen

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 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

• 04/2014 → 05/2017
  Ace Diversified Capital, Inc
  San Gabriel, CA
• 06/2012 → 05/2018
  Bank Of West
  Arcadia, CA
• 05/2018 → Present
  Bancwest Investment Services, Inc
  Pasadena, CA
• 05/2018 → Present
  Bank Of The West
  Pasadena, CA
• 07/2023 → Present
  Lpl Financial Llc
  Westminster, CA
• 11/2023 → Present
  Cetera Investment Services Llc
  St Cloud, MN
• 11/2023 → Present
  Cetera Investment Advisers Llc
  Pasadena, CA
• 11/2023 → Present
  East West Bank
  Pasadena, CA

Previous Registrations

• 2023-07-19 → 2023-11-14
  Lpl Financial Llc
  West Covina, CA
  Westminster, CA
  Torrance, CA
  Arcadia, CA
  Pasadena, CA
  Cerritos, CA
• 2018-06-25 → 2023-07-19
  Bancwest Investment Services, Inc.
  Pasadena, CA
  Arcadia, CA
  Cerritos, CA
  West Covina, CA
  Torrance, CA
  Westminster, CA
  Cerritos, CA
  West Covina, CA
  Arcadia, CA
  Irvine, CA
  Torrance, CA
  Pasadena, CA
• 2011-01-03 → 2012-05-22
  Wells Fargo Clearing Services, Llc
  Reseda, CA
  Woodland Hills, CA
  Westlake Village, CA
• 2009-10-05 → 2011-01-03
  Wells Fargo Investments, Llc
  Northridge, CA
  Westlake Village, CA
  Reseda, CA
  Northridge, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-06-22
• S66 Uniform Combined State Law Examination
  2009-10-03