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Detailed Report
Jessie Chen
Jessie Y. Chen, Jessie Ying Chen, Ying C. Price, Ying Chen Price
CRD#: 5418844
IA
Investment Adviser
B
Broker
WESTERN INTERNATIONAL SECURITIESCRD#: 39262 70 S. Lake Ave.
Ste. 700
Pasadena, CA 91101
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - 2019 (6 years)2 FIRMS2019 - Present (5 years)
Disclosure(s)
View By:
5/17/2019
Employment Separation After Allegations
License(s)

State Registrations

IA
California 8/13/2019
B
California 8/14/2019

SRO Registrations

B
 FINRA

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
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 8/13/2019
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
70 S. Lake Ave. Ste. 700, Pasadena, CA 91101
Registered with this firm since 8/13/2019
Previous Registration(s)
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IA
 08/20/2012 - 06/10/2019 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
B
 08/17/2012 - 06/10/2019 MORGAN STANLEY (CRD#:149777) LOS ANGELES, CA
IA
 11/11/2008 - 08/21/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, CA
B
 06/23/2008 - 08/21/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) BEVERLY HILLS, 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.