Andrew Rocky Chen

Current Employers

Employment History

• 01/2010 → 10/2017
  Edward Jones
  St Louis, MO
• 10/2017 → Present
  Lpl Financial, Llc
  Roseville, CA
• 10/2017 → 08/2019
  Rubicon Advisors, Gp Dba Rubicon Advisors
  Redding, CA
• 08/2019 → 06/2026
  Mariner Independent Advisor Network, Llc
  Roseville, CA
• 06/2026 → Present
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2019-08-01 → 2026-06-26
  Mariner Advisor Network
  Roseville, CA
• 2017-10-25 → 2019-08-20
  Rubicon Advisors
  Roseville, CA
  Redding, CA
  Roseville, CA
• 2010-04-09 → 2017-10-26
  Edward Jones
  Roseville, CA
  Sacramento, CA
  St Louis, MO

Other Businesses

1. 8/23/2019 - West Capital Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2019 - 200 Hours Per Month/40 Hours During Securities Trading. 2. 4/22/2020 - Capitas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading 3. 06/29/2026 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 6/2026. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2010-04-08

Other Names

• Andrew R Chen