Jim H. 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.
Jim Hwa Chen, who also goes by Jim H Chen, was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 1998. Jim had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2015 - March 13, 2017
ALLSTATE FINANCIAL ADVISORS, LLC
April 17, 2015 - March 13, 2017
ALLSTATE FINANCIAL SERVICES, LLC
August 22, 2011 - December 11, 2014
STRATEGIC ADVISERS LLC
June 21, 2011 - December 9, 2014
FIDELITY BROKERAGE SERVICES LLC
April 17, 2009 - May 31, 2011
MML INVESTORS SERVICES, LLC
April 17, 2009 - May 31, 2011
MML INVESTORS SERVICES, LLC
February 27, 2002 - March 18, 2009
VALIC FINANCIAL ADVISORS, INC.
June 2, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
June 2, 2000 - March 18, 2009
VALIC FINANCIAL ADVISORS, INC.
July 28, 1999 - June 9, 2000
U.S. BANCORP INVESTMENTS, INC.
April 29, 1998 - June 2, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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