Winston Chen
Professional summary
Winston Chen, who also goes by Winston D Chen, Winston David Chen, is a registered financial advisor currently at WESTLAKE WEALTH MANAGEMENT LLC located in Seattle, Washington.
Winston is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Winston has worked at 5 firms and has passed the Series 65, Series 66, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Winston Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2020 - Present
WESTLAKE WEALTH MANAGEMENT LLC
Office #1: 600 Stewart Street Suite 400, Seattle, WA 98101November 4, 2010 - March 31, 2015
WESTLAKE WEALTH MANAGEMENT, LLC
February 12, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 5, 2007 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2000 - February 2, 2001
AUERBACH, POLLAK & RICHARDSON INC.
February 21, 2000 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/16/2021)
(6/6/2023)
(7/20/2020)
Exams
Series 55
Date: 4/8/2000
Limited Representative-Equity Trader ExamCurrent Firm
WESTLAKE WEALTH MANAGEMENT LLC
CRD#: 308915 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 223 |
| AUM (Assets Under Management) | $ 61,655,032 |
Red Flags
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