Stephen Chen

FOLLOWTHRU PLANNING ASSOCIATES LLC

Brooklyn, NY

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CRD#: 3178033

Professional summary

Stephen Chen is a registered financial advisor currently at FOLLOWTHRU PLANNING ASSOCIATES LLC located in Brooklyn, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Stephen has worked at 7 firms and has passed the Series 66 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.

STEPHEN CHEN,NOT INVESTMENT RELATED HEALTH AND LIFE INSURANCE, SALES AGENT, 10/2003, 30 HOURS, SALES OF HEALTH AND LIFE INSURANCE. LICENSED AS AN INDEPENDENT INSURANCE AGENT FOR THE PURPOSE OF SELLING FIXED INSURANCE PRODUCTS. TAX PREPARATION AND BOOKKEEPING SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Chen's 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

August 2, 2021 - Present

FOLLOWTHRU PLANNING ASSOCIATES LLC

RIA

CRD#: 145730

Brooklyn, NY

Past

June 30, 2006 - December 18, 2007

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

BROOKLYN, NY

Past

May 20, 2005 - June 30, 2006

CARILLON INVESTMENTS, INC.

CRD#: 14646

BROOKLYN, NY

Past

November 9, 2004 - May 23, 2005

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

October 28, 2003 - June 23, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

March 15, 2000 - June 12, 2002

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

October 26, 1999 - March 31, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

New York
(8/2/2021)

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

IAR

Series 66

Date: 10/31/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/25/1999

General Securities Representative Examination

Current Firm

FOLLOWTHRU PLANNING ASSOCIATES LLC

CRD#: 145730 / SEC#:

New York

Registered Investment Advisory firm - (11/28/2007 Approved)

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Contact information

Main Address

Brooklyn, NY

Mailing Address

Phone number

(718) 627-2809

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 1,445,788

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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Stephen Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FOLLOWTHRU PLANNING ASSOCIATES LLC

AMERITAS INVESTMENT COMPANY, LLC

CARILLON INVESTMENTS, INC.

OSAIC WEALTH, INC.

MONY SECURITIES CORPORATION

CIBC WORLD MARKETS CORP.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2003

Series 7

Date: 10/25/1999

Current Firm

FOLLOWTHRU PLANNING ASSOCIATES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FOLLOWTHRU PLANNING ASSOCIATES LLC

TRUST BUT VERIFY

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