Yang 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.
Yang Chen, who also goes by Young Chen, was a registered financial professional .
Yang is a previously registered financial professional and started their career in finance in 2002. Yang had worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2013 - February 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 2013 - February 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - July 26, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 26, 2013
J.P. MORGAN SECURITIES LLC
June 5, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 4, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 11, 2011 - June 7, 2012
LPL FINANCIAL LLC
October 11, 2011 - June 7, 2012
LPL FINANCIAL LLC
February 18, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
February 17, 2009 - February 18, 2010
LPL FINANCIAL LLC
July 31, 2007 - February 18, 2009
UCB ASSET MANAGEMENT, INC.
May 7, 2007 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
May 7, 2007 - February 18, 2009
UCB INVESTMENT SERVICES, INC.
August 10, 2005 - September 5, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 6, 2005 - May 16, 2007
WORLD GROUP SECURITIES, INC.
September 24, 2003 - May 3, 2005
MML INVESTORS SERVICES, LLC
September 24, 2003 - May 3, 2005
MML INVESTORS SERVICES, LLC
December 13, 2002 - September 16, 2003
OSAIC FA, INC.
December 4, 2002 - September 16, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
December 4, 2002 - September 16, 2003
OSAIC FA, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
