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Detailed Report
ZHONGGUANG CHEN
CHARLEY CHEN, CHARLIE CHEN
CRD#: 4952761
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 875 EL CAMINO REAL
SAN BRUNO, CA 94066
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2009 (1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2015 (3 years)2 FIRMS2015 - Present (9 years)
License(s)

State Registrations

B
California 10/1/2015
B
New York 12/9/2015
IA
California 10/2/2015
B
North Carolina 6/27/2024
B
Colorado 2/23/2023
B
Oregon 4/16/2024
B
Florida 1/12/2024
B
Pennsylvania 8/31/2020
B
Idaho 11/21/2023
B
Texas 12/17/2024
B
Maryland 9/3/2024
IA
Texas 12/17/2024
B
Nevada 4/1/2021
B
Washington 2/11/2019

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
875 EL CAMINO REAL, SAN BRUNO, CA 94066
Registered with this firm since 10/2/2015
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
875 EL CAMINO REAL, SAN BRUNO, CA 94066
Registered with this firm since 10/1/2015
Previous Registration(s)
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IA
 10/01/2012 - 10/07/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) BURLINGAME, CA
B
 10/01/2012 - 10/07/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) BURLINGAME, CA
IA
 01/05/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MILLBRAE, CA
B
 01/05/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MILLBRAE, CA
IA
 06/18/2008 - 12/18/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN JOSE, CA
B
 06/04/2008 - 12/18/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN JOSE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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
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.