Alfred C. Chen
Professional summary
Alfred Chi Chen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alfred is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Alfred had worked at 4 firms, which includes WELLS FARGO INVESTMENTS LLC, WELLS FARGO SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2001 - December 10, 2008
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - December 10, 2008
WELLS FARGO INVESTMENTS, LLC
September 14, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
February 25, 1999 - October 13, 2000
IDS LIFE INSURANCE COMPANY
February 25, 1999 - October 13, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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
WELLS FARGO INVESTMENTS, LLC
CRD#: 10582 / SEC#: , 8-38588
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WELLS FARGO INVESTMENT GROUP, INC. | DIRECT OWNER | |
| AMADOR, LISA ANNE | CHIEF COMPLIANCE OFFICER, DIRECTOR, SECRETARY | 1336656 |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/TREASURER & CFO | 1523151 |
| CAMERANESI, KENNETH STEVEN | DIRECTOR | 1292159 |
| DAGGS, CHARLES WILLARD III | CHIEF EXECUTIVE OFFICER, PRESIDENT & DIRECTOR | 59782 |
| GRANGER, CLIFF GEVAN | AML COMPLIANCE OFFICER | 4787929 |
| PERKEL, RACHEL KENYON | DIRECTOR | 2445943 |
| WELKER, JAY SCOTT | CHAIRMAN & DIRECTOR | 2869678 |
| YERSIN, LINCOLN BLAINE | DIRECTOR | 1715424 |
Disclosures
| Regulatory Event | 53 |
| Arbitration | 33 |
Red Flags
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