George Chen

RED TORTOISE

Decatur, GA

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CRD#: 3070134

Professional summary

George Chen is a registered financial advisor currently at RED TORTOISE located in Decatur, Georgia.

George is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. George has worked at 5 firms and has passed the Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view George 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

October 4, 2018 - Present

RED TORTOISE

RIA

CRD#: 282509

Decatur, GA

Past

January 5, 2017 - August 8, 2018

FDX ADVISORS, INC.

RIA

CRD#: 104601

Decatur, GA

Past

August 29, 2011 - May 6, 2013

M&T SECURITIES, INC.

CRD#: 17358

WILMINGTON, DE

Past

May 31, 2005 - September 1, 2011

WILMINGTON BROKERAGE SERVICES COMPANY

CRD#: 14942

ATLANTA, GA

Past

August 20, 1998 - May 31, 2005

WILMINGTON TRUST INVESTMENT MANAGEMENT

CRD#: 19396

ATLANTA, GA

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".

RED TORTOISE

RED TORTOISE | RED TORTOISE, LLC

CRD#: 282509 / SEC#: 801-112539

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

Georgia

Registered Investment Advisory firm - (3/29/2018 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.

Highlighted states indicate IAR registrations

IAR

Georgia
(10/4/2018)

IAR

Texas
(9/11/2019)

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.

Exams

State Security Law Exam

Series 63

Date: 8/28/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/17/1998

General Securities Representative Examination

Current Firm

RED TORTOISE

RED TORTOISE | RED TORTOISE, LLC

CRD#: 282509 / SEC#: 801-112539

RIA

Registered Investment Advisory firm - (3/1/2018 Approved)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

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Contact information

Main Address

5555 Glenridge Connector Ste. 200, Atlanta, GA 30342

Mailing Address

Phone number

(833) 666-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RED TORTOISE, LLC FORM ADV PART 2 BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	298
AUM (Assets Under Management)	$ 323,048,376

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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George Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RED TORTOISE

FDX ADVISORS, INC.

M&T SECURITIES, INC.

WILMINGTON BROKERAGE SERVICES COMPANY

WILMINGTON TRUST INVESTMENT MANAGEMENT

Primary Firm SEC Registration

RED TORTOISE

State Registrations and Notice Filings

Exams

Series 63

Date: 8/28/1998

Series 7

Date: 8/17/1998

Current Firm

RED TORTOISE

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RED TORTOISE

TRUST BUT VERIFY

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