Jiaqi Chen
Professional summary
Jiaqi Chen, who also goes by Jack Chen, Jia Q Chen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Irvine, California and CETERA INVESTMENT SERVICES LLC located in Irvine, California.
Jiaqi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Jiaqi has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jiaqi Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 15343 Culver Drive, Irvine, CA 92604November 20, 2013 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 5408 Walnut Ave, Unit D, Irvine, CA 92604Office #2: 301 W Valley Blvd Unit 120, San Gabriel, CA 91776Office #3: 15343 Culver Drive, Irvine, CA 92604Office #4: 21705 Hawthorne Blvd, Torrance, CA 90503Office #5: 1607 S Azusa Ave, Hacienda Heights, CA 91745Office #6: 17851-a1 Colima Road, City Of Industry, CA 91748Office #7: 638 S Atlantic Blvd, Monterey Park, CA 91754October 1, 2012 - September 25, 2013
J.P. MORGAN SECURITIES LLC
May 14, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/16/2018)
(3/19/2015)
(4/4/2016)
(8/11/2015)
(3/22/2023)
(10/8/2024)
(4/5/2016)
(4/17/2014)
(11/20/2013)
(11/15/2016)
(1/24/2023)
(2/28/2019)
Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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