Susan K. 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.
Susan Kim Chen, CFP®, who also goes by Susan Chen, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 2012. Susan had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2020 - June 23, 2026
SCHWAB WEALTH ADVISORY, INC.
February 6, 2020 - June 23, 2026
CHARLES SCHWAB & CO., INC.
August 31, 2015 - April 4, 2018
SCHWAB WEALTH ADVISORY, INC.
August 24, 2015 - April 4, 2018
CHARLES SCHWAB & CO., INC.
December 18, 2014 - August 5, 2015
OPTIONSXPRESS, INC.
April 22, 2013 - December 22, 2014
CHARLES SCHWAB & CO., INC.
August 10, 2012 - October 30, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
