Steve C. Chen
Professional summary
Steve Ching Huang Chen, who also goes by Ching Huang Chen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Arcadia, California and CETERA INVESTMENT SERVICES LLC located in Arcadia, California.
Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steve has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steve Ching Huang Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2014 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1038 S Baldwin Ave, Arcadia, CA 91007August 1, 2014 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 1038 S Baldwin Ave, Arcadia, CA 91007Office #2: 800 E Valley Blvd, San Gabriel, CA 91776Office #3: 3920 N Peck Road, El Monte, CA 91732Office #4: 403 W Valley Blvd, Alhambra, CA 91803April 8, 2014 - July 25, 2014
CUSO FINANCIAL SERVICES, L.P.
April 8, 2014 - July 25, 2014
CUSO FINANCIAL SERVICES, L.P.
September 6, 2013 - April 9, 2014
U.S. BANCORP INVESTMENTS, INC.
September 6, 2013 - April 9, 2014
U.S. BANCORP INVESTMENTS, INC.
October 28, 2009 - September 9, 2013
CETERA INVESTMENT SERVICES LLC
October 28, 2009 - September 9, 2013
CETERA INVESTMENT SERVICES LLC
October 23, 2009 - October 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 23, 2006 - September 30, 2008
HSBC SECURITIES (USA) INC.
October 23, 2006 - September 30, 2008
HSBC SECURITIES (USA) INC.
August 25, 2005 - October 6, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
August 25, 2005 - October 6, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
April 27, 2004 - August 12, 2005
CITICORP INVESTMENT SERVICES
May 19, 2003 - August 12, 2005
CITICORP INVESTMENT SERVICES
January 20, 2000 - May 19, 2003
WAMU INVESTMENTS, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/30/2018)
(8/1/2014)
(8/4/2014)
(1/11/2018)
(9/2/2025)
(1/2/2018)
(7/14/2025)
(1/5/2018)
(4/18/2018)
(8/17/2016)
(1/3/2018)
(1/2/2018)
(1/12/2023)
(8/17/2023)
(1/8/2018)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Arcadia, CA 91007TRUST BUT VERIFY
Monitor Steve Chen
Get automatic monthly alerts on:
