Yu Chen
INFINITY FINANCIAL SERVICES ADVISORY
South El Monte, CA 91733
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CRD#: 6122948
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 Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bruce 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.
(1) OPERATING UNDER THE DBA NAME OF UNIGEN INSURANCE SERVICES, INC FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; MONTEREY PARK, CA; START DATE: 09/2016 (2) MYZ Financial & Insurance Services; Will be engaging in insurance products such as health insurance, life insurance and other group benefits.; 11223 Rush St, Suite G, South El Monte, CA 91733; Start Date 02/2018; Role/Title: Owner; Investment Related; 20 hours per month; 20 hours per month during securities trading hours; Selling/brokering traditional, non-variable, non-registered insurance products via my FMO and MYZ Financial. Clients are made aware what capacity I will be working under (MYZ financial insurance agent and Owner). Insurance sales include life, health, and property and casualty (3) Forte Tools Inc located at 11223 Rush St, Suite G, South El Monte, CA 91733, Not Investment Related. Start Date: 01/2022, Position CFO. Wholesale distribution of industrial products. Approximately 20 hours per month which will all be outside of trading hours. Duties: help review business operations and optimize workflows. Primarily computer work. Expected compensation: $23,000.
CRS (Client Relationship Summary) - RIA
Click below to view Yu 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®
Start date: 2016
Experience
Current
December 22, 2022 - Present
INFINITY FINANCIAL SERVICES ADVISORY
Office #1: 11223 Rush St, Suite G, South El Monte, CA 91733RIA
CRD#: 304981
South El Monte, CA
Current
December 20, 2022 - Present
INFINITY FINANCIAL SERVICES
Office #1: 11223 Rush St Suite G, South El Monte, CA 91733BD
CRD#: 144302
South El Monte, CA
Past
August 9, 2019 - December 31, 2022
ALDEN CAPITAL
RIA
CRD#: 293551
Alhambra, CA
Past
February 13, 2019 - December 31, 2022
J. ALDEN ASSOCIATES, INC.
BD
CRD#: 40002
WAYNE, PA
Past
January 26, 2015 - February 12, 2019
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
MONTEREY PARK, CA
Past
March 8, 2013 - February 12, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MONTEREY PARK, CA
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".
IF
INFINITY FINANCIAL SERVICES ADVISORY
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
CRD#: 304981 / SEC#: 801-117719
RIA
Registered Investment Advisory firm - (12/5/2019 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
California(12/21/2022)
IAR
California(12/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INFINITY FINANCIAL SERVICES ADVISORY
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
CRD#: 304981 / SEC#: 801-117719
RIA
Registered Investment Advisory firm - (12/5/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
Phone number
(510) 588-8000
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 918 |
| AUM (Assets Under Management) | $ 150,097,662 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
