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Detailed Report
CAITLIN CHEN
CAITLIN Y CHEN
CRD#: 2820181
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 1130 RXR PLAZA
SUITE 1130
UNIONDALE, NY 11556
Registration History
199820002002200420062008201020122014201620182020202220242026IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2018 - Present (6 years)BEF LEGACY SECURITIES, LLC (CRD# 269923)2016 - 2018 (2 years)BSANDERS MORRIS HARRIS LLC (CRD# 20580)2010 - 2016 (5 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2007 - 2010 (2 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2001 - 2007 (6 years)BCITICORP INVESTMENT SERVICES (CRD# 23988)2000 - 2001 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2000 - 2000 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1998 - 1999 (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1997 - 1997 (<1 year)IAEDELMAN FINANCIAL SERVICES, LLC (CRD# 113299)2010 - 2018 (8 years)IATIAA-CREF ADVICE AND PLANNING ... (CRD# 20472)2008 - 2010 (2 years)IASTRATEGIC ADVISERS, INC. (CRD# 104555)2005 - 2007 (1 year)
License(s)

State Registrations

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New York 4/28/2021
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Texas 10/12/2018
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
1130 RXR PLAZA SUITE 1130, UNIONDALE, NY 11556
Registered with this firm since 10/12/2018
Previous Registration(s)
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 05/06/2010 - 11/01/2018 EDELMAN FINANCIAL SERVICES, LLC (CRD#:113299) NEW YORK, NY
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 04/22/2016 - 10/31/2018 EF LEGACY SECURITIES, LLC (CRD#:269923) Uniondale, NY
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 05/05/2010 - 04/22/2016 SANDERS MORRIS HARRIS LLC (CRD#:20580) Uniondale, NY
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 03/05/2008 - 03/19/2010 TIAA-CREF ADVICE AND PLANNING SERVICES (CRD#:20472) NEW YORK, NY
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 05/31/2007 - 03/19/2010 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) NEW YORK, NY
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 07/20/2005 - 05/10/2007 STRATEGIC ADVISERS, INC. (CRD#:104555) NEW YORK, NY
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 02/13/2001 - 05/10/2007 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) NEW YORK, NY
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 08/14/2000 - 01/19/2001 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
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 01/28/2000 - 08/17/2000 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
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 06/01/1998 - 10/21/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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 04/02/1997 - 07/25/1997 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.