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CZ

Chen Zhao

STRATEGIC ADVISERS LLC
KINGWOOD, TX
Some features on this profile are disabled
CRD#: 5185100
CZ

Professional summary

Chen Zhao, who also goes by Joanna Zhao, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Kingwood, Texas and FIDELITY BROKERAGE SERVICES LLC located in Smithfield, Rhode Island.

Chen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Chen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joanna Zhao

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) - RIA

Click below to view Chen Zhao's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
KINGWOOD, TX
Current

December 2, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 7784
Smithfield, RI
Past

December 14, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
KINGWOOD, TX
Past

June 3, 2019 - October 27, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
KINGWOOD, TX
Past

June 3, 2019 - October 27, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
KINGWOOD, TX
Past

January 25, 2017 - March 9, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA
CRD#: 169988
SAINT LOUIS, MO
Past

July 19, 2013 - March 9, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
KINGWOOD, TX
Past

March 11, 2013 - July 2, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
KINGWOOD, TX
Past

March 11, 2013 - July 2, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
KINGWOOD, TX
Past

February 14, 2008 - February 12, 2013

EDWARD JONES

RIA
CRD#: 250
KINGWOOD, TX
Past

January 31, 2008 - February 12, 2013

EDWARD JONES

BD
CRD#: 250
KINGWOOD, TX
Past

September 20, 2007 - December 31, 2007

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
HOUSTON, TX
Past

September 14, 2006 - December 31, 2007

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/7/2022)
RR
Alaska
(12/7/2022)
RR
Arizona
(12/7/2022)
RR
Arkansas
(12/7/2022)
RR
California
(12/7/2022)
RR
Colorado
(12/7/2022)
RR
Connecticut
(12/7/2022)
RR
Delaware
(12/7/2022)
RR
District of Columbia
(12/7/2022)
RR
Florida
(12/7/2022)
RR
Georgia
(12/7/2022)
RR
Hawaii
(12/7/2022)
RR
Idaho
(12/7/2022)
RR
Illinois
(12/7/2022)
RR
Indiana
(12/7/2022)
RR
Iowa
(12/7/2022)
RR
Kansas
(12/7/2022)
RR
Kentucky
(12/7/2022)
RR
Louisiana
(12/7/2022)
RR
Maine
(12/7/2022)
RR
Maryland
(12/7/2022)
RR
Massachusetts
(12/7/2022)
RR
Michigan
(12/7/2022)
RR
Minnesota
(12/7/2022)
RR
Mississippi
(12/7/2022)
RR
Missouri
(12/7/2022)
RR
Montana
(12/7/2022)
RR
Nebraska
(12/7/2022)
RR
Nevada
(12/7/2022)
RR
New Hampshire
(12/7/2022)
RR
New Jersey
(12/7/2022)
RR
New Mexico
(12/7/2022)
RR
New York
(12/7/2022)
RR
North Carolina
(12/7/2022)
RR
North Dakota
(12/7/2022)
RR
Ohio
(12/8/2022)
RR
Oklahoma
(12/7/2022)
RR
Oregon
(12/7/2022)
RR
Pennsylvania
(12/7/2022)
RR
Puerto Rico
(12/7/2022)
RR
Rhode Island
(12/7/2022)
RR
South Carolina
(12/7/2022)
RR
South Dakota
(12/7/2022)
RR
Tennessee
(12/7/2022)
RR
Texas
(12/2/2022)
IAR
Texas
(3/31/2025)
RR
Utah
(12/7/2022)
RR
Vermont
(12/7/2022)
RR
Virginia
(12/7/2022)
RR
Washington
(12/7/2022)
RR
West Virginia
(12/7/2022)
RR
Wisconsin
(12/7/2022)
RR
Wyoming
(12/7/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/19/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/26/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/13/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555Kingwood, TX

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