Yu Chen
CFP®Professional Summary
Yu Chen, CFP®, who also goes by Bruce Chen, is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in South El Monte, California and INFINITY FINANCIAL SERVICES located in South El Monte, California. Yu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Yu has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bruce Chen
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Credentials
Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Current Firm
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
Contact Information
Main Address
212 9th Street Suite 202, Oakland, CA 94607Phone Number
(510) 588-8000# of Employees
35SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
839AUM (Assets Under Management)
$173,954,611Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
Primary Firm SEC Registration
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
State Registrations and Notice Filings
(12/21/2022)
(12/22/2022)
(1/20/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2013About the Series 6 examSRO Registrations
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS
CRS (Client Relationship Summary) - RIA
Click below to view Yu Chen's CRS (Customer Relationship Summary).
Similar Advisors
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
COOPER MCMANUS