Stacey Chen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stacey Chen, who also goes by Stacy Chen, Stacey Chen, Stacey Wang, was a registered financial professional .
Stacey is a previously registered financial professional and started their career in finance in 2000. Stacey had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2022 - November 20, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 23, 2022 - November 16, 2023
FIDELITY BROKERAGE SERVICES LLC
April 29, 2020 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 29, 2020 - January 11, 2021
TD AMERITRADE, INC.
April 29, 2020 - January 11, 2021
TD AMERITRADE, INC.
August 21, 2019 - September 9, 2019
B. RILEY WEALTH ADVISORS, INC.
August 21, 2019 - September 9, 2019
NATIONAL SECURITIES CORPORATION
March 21, 2017 - March 28, 2018
CHARLES SCHWAB & CO., INC.
March 7, 2017 - March 28, 2018
CHARLES SCHWAB & CO., INC.
July 31, 2006 - July 10, 2015
SCOTTRADE, INC.
April 25, 2006 - July 12, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 18, 2005 - July 12, 2006
TD AMERITRADE, INC.
October 4, 2000 - July 12, 2006
TD AMERITRADE, INC.
June 12, 2000 - September 6, 2000
U. S. PACIFIC FINANCIAL SERVICES, INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
