Reuben K. Chen
Professional summary
Reuben Kengshin Chen, CFP®, CLU®, who also goes by Reuben Keng Shin Chen, is a registered financial advisor currently at M HOLDINGS SECURITIES, INC. located in San Ramon, California.
Reuben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Reuben has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Reuben Kengshin Chen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Reuben Kengshin Chen's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1994
Experience
October 16, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #2: 2635 N. 1st Street Suite 256, San Jose, CA 95134October 16, 2015 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 2635 N. 1st Street Suite 256, San Jose, CA 95134February 3, 2009 - November 19, 2013
PENSION PLANNERS SECURITIES, INC.
August 13, 2008 - October 20, 2015
CETERA WEALTH SERVICES, LLC
August 13, 2008 - October 20, 2015
CETERA WEALTH SERVICES, LLC
March 14, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
March 14, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
June 21, 2001 - March 20, 2003
MSI FINANCIAL SERVICES, INC.
June 13, 2001 - March 20, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 13, 2001 - March 20, 2003
MSI FINANCIAL SERVICES, INC.
August 22, 1989 - June 12, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 22, 1989 - June 12, 2001
OSAIC FA, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2018)
(10/16/2015)
(10/16/2015)
(8/12/2024)
(12/15/2022)
(10/16/2015)
(1/3/2025)
(10/16/2015)
(4/17/2018)
(11/14/2023)
(10/16/2015)
(10/16/2015)
(6/15/2021)
(10/16/2015)
(4/28/2022)
Exams
FINRA
Current Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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.
