Peter P. Chen

STONEMARK WEALTH MANAGEMENT

PASADENA, CA 91101

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CRD#: 2880266

Professional summary

Peter Pin Chen is a registered financial advisor currently at STONEMARK WEALTH MANAGEMENT located in Pasadena, California and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Peter has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) STONEMARK WEALTH MANAGEMENT FKA WESPAC ADVISORS SOCAL LLC ; 201 S Lake Avenue, Suite 509, Pasadena, CA 91101; Registered Investment Advisor; Start 06/2011; 40 hours/week; 40 hours per/week during trading hours; Invesment Advisory- l, RA BSM, Managing Principal. 2)The Leaders Group Inc. ,26 W Dry Creek Circle, Littleton, CO 80120; Broker/Dealer. Registered Representative, Start: 04/2014; Approximately 5 hours/month; 5 hours/month during trading hours; brokerage business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Pin Chen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 21, 2011 - Present

STONEMARK WEALTH MANAGEMENT

Office #1: 201 S. Lake Avenue Suite 509, Pasadena, CA 91101

RIA

CRD#: 158413

PASADENA, CA

Current

April 30, 2014 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

Summit, NJ

Past

February 18, 2014 - April 29, 2014

KEY WEST INVESTMENTS, LLC

CRD#: 149418

SAN GABRIEL, CA

Past

May 18, 2011 - January 28, 2014

GIRARD SECURITIES, INC.

CRD#: 18697

PASADENA, CA

Past

June 2, 2010 - May 2, 2011

SENTINEL SECURITIES, LLC.

CRD#: 110942

PASENDA, CA

Past

September 23, 2009 - January 11, 2012

WESPAC ADVISORS, LLC

RIA

CRD#: 148242

PASADENA, CA

Past

December 10, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

BEVERLY HILLS, CA

Past

December 10, 2008 - July 7, 2009

HILLTOP SECURITIES INC.

CRD#: 6220

BEVERLY HILLS, CA

Past

July 27, 2004 - April 7, 2009

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

July 27, 2004 - July 6, 2009

TOWER ASSET MANAGEMENT LLC

RIA

CRD#: 107919

BEVERLY HILLS, CA

Past

April 7, 2000 - April 3, 2009

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

January 1, 1999 - January 20, 1999

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

August 13, 1998 - January 1, 1999

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

October 6, 1997 - August 7, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STONEMARK WEALTH MANAGEMENT

STONEMARK WEALTH MANAGEMENT | WESPAC ADVISORS SOCAL, LLC

CRD#: 158413 / SEC#: 801-77286

RIA

Registered Investment Advisory firm - (11/8/2012 Approved)

California

Registered Investment Advisory firm - (11/21/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(9/21/2011)

California
(4/30/2014)

IAR

Texas
(5/14/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STONEMARK WEALTH MANAGEMENT

STONEMARK WEALTH MANAGEMENT | WESPAC ADVISORS SOCAL, LLC

CRD#: 158413 / SEC#: 801-77286

RIA

Registered Investment Advisory firm - (11/8/2012 Approved)

California

Registered Investment Advisory firm - (11/21/2012 Terminated)

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Contact information

Main Address

201 S. Lake Avenue Suite 509, Pasadena, CA 91101

Mailing Address

Phone number

(626) 304-9888

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESPAC ADVISORS SOCAL, LLC FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	853
AUM (Assets Under Management)	$ 516,309,155

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.

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Firm Stability Insights

Peter P. Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Pin Chen's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

KEY WEST INVESTMENTS, LLC

GIRARD SECURITIES, INC.

SENTINEL SECURITIES, LLC.

WESPAC ADVISORS, LLC

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

TOWER ASSET MANAGEMENT LLC

M.L. STERN & CO., LLC.

WAMU INVESTMENTS, INC.

GRIFFIN FINANCIAL SERVICES

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

STONEMARK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/15/1999

Series 63

Date: 9/26/1997

SIE

Date: 10/1/2018

Series 7

Date: 9/10/1997

FINRA

Current Firm

STONEMARK WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEMARK WEALTH MANAGEMENT

TRUST BUT VERIFY

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