Albert S. Chen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Albert S Chen, who also goes by Albert Singyu Chen, Albert Chen, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1989. Albert had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - December 31, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
November 6, 2008 - December 31, 2016
WESTERN INTERNATIONAL SECURITIES, INC.
October 3, 2005 - December 2, 2008
DEUTSCHE BANK SECURITIES INC.
October 3, 2005 - December 2, 2008
DEUTSCHE BANK SECURITIES INC.
January 18, 2001 - October 10, 2005
MORGAN STANLEY & CO. LLC
September 29, 1999 - October 10, 2005
MORGAN STANLEY & CO. LLC
October 1, 1997 - September 24, 1999
BANC OF AMERICA SECURITIES LLC
July 15, 1997 - October 1, 1997
MONTGOMERY SECURITIES
September 10, 1991 - May 13, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1989 - May 9, 1991
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
