Albert Chen

COURSE MANAGEMENT INVESTMENT ADVISORS

Pinehurst, NC 28374

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CRD#: 5996821

Professional summary

Albert Chen, CFP®, who also goes by Albert H Chen, is a registered financial advisor currently at COURSE MANAGEMENT INVESTMENT ADVISORS, LLC located in Pinehurst, North Carolina.

Albert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Albert has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Albert H 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.

Name of outside business: Course Management Real Estate Partners; Is the business investment related: Yes; Location of the business: 5 Dowd Circle Suite B|Pinehurst, NC 28374; Description of the business: Commercial Real estate portfolio specializing in retail office space; Position Title: co-owner; Responsibilities Duties: Ensuring property is maintained to professional standards; Start date with business: 2020-11-04; Total time spent in OBA is 10 hrs per month. Percentage of total yearly compensation expected to be derived from the business: 5; Will an IRS form for income earned be received: Yes; Additional notes: Albert is a co-owner of the building which also houses course management investment advisors.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Albert Chen's 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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

February 27, 2020 - Present

COURSE MANAGEMENT INVESTMENT ADVISORS, LLC

Office #1: 5 Dowd Cir Suite B, Pinehurst, NC 28374

RIA

CRD#: 306974

Pinehurst, NC

Past

April 22, 2015 - April 16, 2020

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 169045

Raleigh, NC

Past

April 15, 2015 - March 24, 2020

LPL FINANCIAL LLC

CRD#: 6413

RALEIGH, NC

Past

November 13, 2012 - April 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

COLUMBIA, SC

Past

November 12, 2012 - April 16, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

COLUMBIA, SC

Past

July 23, 2012 - October 23, 2012

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

COLUMBIA, SC

Past

January 18, 2012 - October 23, 2012

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

COLUMBIA, SC

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/20/2024)

IAR

North Carolina
(5/7/2020)

IAR

South Carolina
(5/13/2020)

IAR

Texas
(2/27/2020)

IAR

Virginia
(12/26/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/16/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/17/2012

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COURSE MANAGEMENT INVESTMENT ADVISORS, LLC

CRD#: 306974 / SEC#:

Florida

Registered Investment Advisory firm - (9/20/2024 Approved)

North Carolina

Registered Investment Advisory firm - (5/7/2020 Approved)

South Carolina

Registered Investment Advisory firm - (5/13/2020 Approved)

Texas

Registered Investment Advisory firm - (2/6/2020 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (12/26/2023 Approved)

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Contact information

Main Address

5 Dowd Cir Suite B, Pinehurst, NC 28374

Mailing Address

Phone number

(910) 621-3371

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	403
AUM (Assets Under Management)	$ 72,340,000

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.

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Albert Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/16/2012

Series 63

Date: 1/26/2012

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2012

Series 6

Date: 1/17/2012

Current Firm

COURSE MANAGEMENT INVESTMENT ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

COURSE MANAGEMENT INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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