Chung-ching T. 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.
Chung-ching Tan Chen, who also goes by Alice Chen, Alice Chung-ching Chen, Chung-ching Chen, was a registered financial professional .
Chung-ching is a previously registered financial professional and started their career in finance in 2000. Chung-ching had worked at 6 firms and has passed the Series 66, 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
May 10, 2017 - November 6, 2017
FIRST HEARTLAND CONSULTANTS, INC.
April 27, 2017 - November 6, 2017
FIRST HEARTLAND CAPITAL, INC.
October 26, 2015 - January 12, 2017
PARK AVENUE SECURITIES LLC
October 26, 2015 - January 12, 2017
PARK AVENUE SECURITIES LLC
October 30, 2002 - September 22, 2015
MSI FINANCIAL SERVICES, INC.
October 30, 2002 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 30, 2002 - September 22, 2015
MSI FINANCIAL SERVICES, INC.
May 31, 2000 - October 17, 2002
PRUCO SECURITIES, LLC.
May 30, 2000 - October 17, 2002
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
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
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
Contact information
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 9,231 |
| AUM (Assets Under Management) | $ 1,771,078,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 08/12/2024 | ||
| 12/07/2023 |
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.
