Yu-chin G. 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.
Yu-chin Grace Chen, CFP®, who also goes by Yu Chin Grace Chen, Yu Grace Chen, was a registered financial professional .
Yu-chin is a previously registered financial professional and started their career in finance in 1998. Yu-chin had worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
November 29, 2016 - May 14, 2019
CITIGROUP GLOBAL MARKETS INC.
November 28, 2016 - May 14, 2019
CITIGROUP GLOBAL MARKETS INC.
August 3, 2015 - December 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2015 - December 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 21, 2014 - August 3, 2015
CETERA INVESTMENT ADVISERS LLC
March 6, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
March 6, 2013 - August 3, 2015
CETERA INVESTMENT SERVICES LLC
May 8, 2012 - February 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 7, 2012 - February 21, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 12, 2011 - May 11, 2012
CHASE INVESTMENT SERVICES CORP.
July 11, 2011 - May 11, 2012
CHASE INVESTMENT SERVICES CORP.
January 5, 2004 - June 29, 2011
CETERA WEALTH SERVICES, LLC
July 25, 2003 - June 29, 2011
CETERA WEALTH SERVICES, LLC
October 4, 2001 - August 12, 2003
CORE PACIFIC SECURITIES USA LLC
July 21, 1999 - October 1, 2001
IDS LIFE INSURANCE COMPANY
July 21, 1999 - October 1, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 14, 1998 - May 6, 1999
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CITIGROUP GLOBAL MARKETS INC.
CRD#: 7059 / SEC#: 801-3387, 8-8177
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
CITIGROUP GLOBAL MARKETS INC.
CRD#: 7059 / SEC#: 801-3387, 8-8177
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | 100% SHAREHOLDER | |
| BARRATT, CHRISTOPHER | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER (FINOP) | 5659131 |
| CHIRICO, JOHN A | DIRECTOR | 2916366 |
| COLE, ROBERT JAMES | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS | 6439548 |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (INTERIM) | 1584619 |
| DHOUIBI, STEPHANIE ANISSA | DIRECTOR | 7189271 |
| KLEIN, ROBERT FRANCIS | CO-GENERAL COUNSEL | 2937015 |
| MESHEL, ADAM REID | CO-GENERAL COUNSEL | 3101145 |
| RICHARDSON, CYRUS BEGLEY III | CHIEF COMPLIANCE OFFICER | 5284855 |
| VAROUS, DINA | DIRECTOR/CEO/PRESIDENT/CHAIRWOMAN | 5012034 |
Regulatory assets under management
| Total Number of Accounts | 56,879 |
| AUM (Assets Under Management) | $ 46,870,946,575 |
Disclosures
| Regulatory Event | 588 |
| Civil Event | 3 |
| Arbitration | 642 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 02/28/2024 |
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.
