Individual Firm
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MICHAEL CHINGYUAN CHEN
MICHAEL C CHEN, MICHAEL CHEN, MIKE CHEN
CRD#: 2843311
IA
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CHARLES SCHWAB & CO., INC.CRD#: 5393 11100 NE 8th St.
Suite 250
Bellevue, WA 98004-4465
Suite 250
Bellevue, WA 98004-4465
0
Disclosures
26
Years of Experience
View By:
State Registrations
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Arizona 1/26/2022
B
Minnesota 4/11/2025
B
California 1/26/2022
B
Montana 1/26/2022
B
Delaware 2/27/2024
B
New York 1/26/2022
B
Florida 1/26/2022
B
Oregon 2/7/2022
B
Hawaii 1/26/2022
B
Texas 1/26/2022
B
Illinois 1/26/2022
B
Washington 1/26/2022
B
Indiana 11/3/2022
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Washington 1/26/2022
SRO Registrations
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Registered with this firm since 1/26/2022
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Registered with this firm since 1/26/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/26/2018 - 07/29/2024 | Bellevue, WA | |
IA | 02/26/2018 - 09/07/2023 | Bellevue, WA | |
IA | 02/27/2018 - 10/14/2022 | Bellevue, WA | |
IA | 09/15/2016 - 02/26/2018 | SAINT LOUIS, MO | |
B | 10/02/2014 - 02/26/2018 | BELLEVUE, WA | |
IA | 07/08/2011 - 10/03/2014 | BELLEVUE, WA | |
IA | 07/08/2011 - 10/03/2014 | BELLEVUE, WA | |
B | 06/30/2011 - 10/03/2014 | BELLEVUE, WA | |
B | 11/02/2000 - 11/25/2009 | SAN DIEGO, CA | |
B | 06/01/1998 - 10/16/2000 | OMAHA, NE | |
B | 05/01/1997 - 06/01/1998 | ||
B | 01/27/1997 - 02/26/1997 | GREENWOOD VILLAGE, CO |
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.