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Detailed Report
Yen Chen
CRD#: 5659569
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1001 FAIR OAK AVE S
PASADENA, CA 91030
CETERA INVESTMENT SERVICES LLCCRD#: 15340 1001 FAIR OAKS AVE
SOUTH PASADENA, CA 91030
Registration History
2010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2012 (1 year)2 FIRMS2018 - 2023 (5 years)2 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BACE DIVERSIFIED CAPITAL, INC. (CRD# 41768)2014 - 2017 (2 years)
License(s)

State Registrations

B
California 11/1/2023
B
Nevada 11/1/2023
IA
California 11/1/2023

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
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1001 FAIR OAK AVE S, PASADENA, CA 91030
Registered with this firm since 11/1/2023
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
1001 FAIR OAKS AVE, SOUTH PASADENA, CA 91030
403 W VALLEY BLVD, ALHAMBRA, CA 91803
Registered with this firm since 11/1/2023
Previous Registration(s)
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IA
 07/19/2023 - 11/14/2023 LPL FINANCIAL LLC (CRD#:6413) WESTMINSTER, CA
B
 07/19/2023 - 11/14/2023 LPL FINANCIAL LLC (CRD#:6413) WESTMINSTER, CA
IA
 06/25/2018 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) CERRITOS, CA
B
 06/23/2018 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) CERRITOS, CA
B
 04/24/2014 - 03/13/2017 ACE DIVERSIFIED CAPITAL, INC. (CRD#:41768) SAN GABRIEL,, CA
IA
 01/03/2011 - 05/22/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) WOODLAND HILLS, CA
B
 01/03/2011 - 05/22/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) WOODLAND HILLS, CA
IA
 10/05/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RESEDA, CA
B
 07/24/2009 - 01/03/2011 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) RESEDA, 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.