Philana Y. 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.
Philana Y Chen, who also goes by Philana Chen, was a registered financial professional .
Philana is a previously registered financial professional and started their career in finance in 2004. Philana had worked at 6 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
May 15, 2018 - January 17, 2020
PNC MANAGED ACCOUNT SOLUTIONS, INC.
March 12, 2018 - January 17, 2020
BBVA SECURITIES INC.
January 9, 2012 - March 19, 2012
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
May 4, 2011 - March 19, 2012
FIRST REPUBLIC SECURITIES COMPANY, LLC
September 18, 2006 - April 19, 2011
U.S. BANCORP ADVISORS, LLC
April 7, 2006 - April 19, 2011
U.S. BANCORP ADVISORS, LLC
July 28, 2004 - February 4, 2005
CITIGROUP GLOBAL MARKETS 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
PNC MANAGED ACCOUNT SOLUTIONS, INC.
CRD#: 110476 / SEC#: 801-56131
Contact information
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 588,442,024 |
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.
