Kuang C. Chen

CRD#: 5022385

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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.

Kuang Chung Chen, who also goes by K. C. Chen, was a registered financial professional .

Kuang is a previously registered financial professional and started their career in finance in 2005. Kuang had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

K. C. Chen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 30, 2005 - May 10, 2012

POSITIVE DELTA ASSET MANAGEMENT LLC

RIA

CRD#: 134775

SANTA CLARA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

POSITIVE DELTA ASSET MANAGEMENT LLC

GB POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT, LLC | POSITIVE DELTA ASSET MANAGEMENT LLC | GB POSITIVE DELTA ASSET MANAGENT, LLC

CRD#: 134775 / SEC#: 801-69722

RIA

Registered Investment Advisory firm - (7/12/2012 Terminated)

California

Registered Investment Advisory firm - (6/13/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

520 S. Grand Ave. Suite 1070, Los Angeles, CA 90071

Mailing Address

Phone number

(213) 388-3638

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	109
AUM (Assets Under Management)	$ 28,800,658

Red Flags

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