CECILIA C. CHEN

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CRD#: 6124229

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.

CECILIA CHIEH-PING CHEN, CFA, who also goes by Cecilia C Chen, was a registered financial professional .

CECILIA is a previously registered financial professional and started their career in finance in 2013. CECILIA had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Biography

Cecilia is a Principal in the Los Angeles office. Born in Taiwan and raised in Southern California, she helps clients realize their financial goals with their appropriate level of risk. Cecilia brings more than 25 years of experience advising affluent individuals, families and institutions on financial planning, asset allocation and portfolio management. She is also an expert in managing portfolios of exchange traded funds.

Prior to joining Cerity Partners, Cecilia served as a Senior Vice President and Portfolio Manager at Covington Capital Management. Before she joined Covington, she was director and senior portfolio manager with City National Rochdale and City National Asset Management. She’s also held senior positions at California Bank & Trust and Sanwa Bank.

Cecilia is fluent in Mandarin and Taiwanese and is passionate about traveling, movies, art, and tennis.

Question & Answer

Are you a "fiduciary"?

Aliases

Cecilia C 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Education

the University of California, Los Angeles

B.S. - Mathematics and Computer Science

the University of California, Irvine

MBA - Finance with a focus on Investments

Experience

Past

October 3, 2022 - August 16, 2024

CERITY PARTNERS LLC

RIA

CRD#: 151559

NEW YORK, NY

Past

January 11, 2013 - August 31, 2015

CITY NATIONAL ROCHDALE

RIA

CRD#: 117198

NEW YORK, NY

Past

January 1, 2013 - August 31, 2015

CNR SECURITIES, LLC

CRD#: 18466

BEVERLY HILLS, 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".

CERITY PARTNERS LLC

CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA

Registered Investment Advisory firm - (10/22/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 3/29/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2012

General Securities Representative Examination

Current Firm

CERITY PARTNERS LLC

CERITY PARTNERS | MILSTEIN ADVISORS LLC | HPM PARTNERS SFO ALLIANCE | HPM PARTNERS LLC | CERITY PARTNERS LLC

CRD#: 151559 / SEC#: 801-70719

RIA

Registered Investment Advisory firm - (10/22/2009 Approved)

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Contact information

Main Address

99 Park Avenue 16th Floor, New York, NY 10016

Mailing Address

Phone number

(212) 850-4260

Established

Firm type

Fiscal year end

# of Employees

1,166

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CP ADV PART 2A (9/18/2025)

Regulatory assets under management

Total Number of Accounts	19,810
AUM (Assets Under Management)	$ 122,848,693,051

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
07/24/2024	Cover Page	Report
09/28/2023	Cover Page	Report

Red Flags

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Contact information

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CECILIA C. CHEN

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Education

the University of California, Los Angeles

the University of California, Irvine

Experience

CITY NATIONAL ROCHDALE

CNR SECURITIES, LLC

Primary Firm SEC Registration

CERITY PARTNERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/29/2013

SIE

Date: 8/31/2015

Series 7

Date: 12/27/2012

Current Firm

CERITY PARTNERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CERITY PARTNERS LLC

TRUST BUT VERIFY

Contact information

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