Herbert Chen
Professional Summary
Herbert Chen is a registered financial advisor currently at ONESEVEN located in Columbus, Ohio and FORTUNE FINANCIAL SERVICES, INC. located in St Petersburg, Florida. Herbert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Herbert has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
13 years in the financial services industry
Current & Past Employments
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Current Firm
AIM WEALTH MANAGEMENT GROUP, LLC | WOLFE WEALTH MANAGEMENT | WEALTHCREATE | WEALTH SOLUTIONS | WEALTH PLANNING AND DESIGN | WE ARE ONE SEVEN, LLC | VALENTINE WEALTH ADVISORS | THE JAICKS GROUP | THE HAMILTON GROUP | THE FULSHEAR WEALTH MANAGEMENT GROUP | TCWP LLC | STUDEMONT GROUP, LP | STRUCTURE WEALTH MANAGEMENT | STRATOS INVESTMENTS OF ONESEVEN | STONE CREEK ADVISORS | STEADFAST WEALTH STRATEGIES | SHINTANI WEALTH MANAGEMENT SERVICES | S3 RETIREMENT | ROSEHAVEN FAMILY OFFICE | ROMERO WEALTH MANAGEMENT | RISE CAPITAL | RETIREMENT PLANNING SOLUTIONS BY THE JAICKS GROUP | RESOLUTE WEALTH MANAGEMENT | REFLECTIONS LIFE INVESTMENTS LLC | REFLECTIONS LIFE INVESTMENTS | R J CAMPBELL INVESTMENTS, LLC | PONDERA WEALTH | PILLAR WEALTH GROUP, LLC | PARK CITY WEALTH ADVISORS | PALM COAST WEALTH MANAGEMENT | PACELINE ADVISORS LLC | ONPOINT WEALTH PARTNERS | ONESEVEN / WE ARE ONE SEVEN | ONESEVEN | ONE SEVEN | NORTH MOUNTAIN WEALTH MANAGEMENT, LLC | MOSKAL GROSS ORCHOSKY | MGO, INC. | MGO ONE SEVEN LLC | MGO ONE SEVEN | MGO ADVISORS | MGO | MG ADVISORS | MCCONNELL FINANCIAL | MB WEALTH MANAGEMENT GROUP | MARTZ FINANCIAL | MANAGED WEALTH SOLUTIONS | MAGNETIC NORTH FINANCIAL | LIFE TRANSITIONS PLANNING, LLC | LIFE TRANSITIONS PLANNING | LEGACY WEALTH GROUP | LEGACY ADVISORS | LATTICE WEALTH MANAGEMENT | LAKE HOUSE PRIVATE WEALTH MANAGEMENT | JTM WILLIAMS CAPITAL MANAGEMENT | JRP CAPITAL | JP INVESTMENTS GROUP | J WELLINGTON FINANCIAL | IRONCLAD WEALTH MANAGEMENT | HYPERION WEALTH GROUP | HTR WEALTH MANAGEMENT | HOPE FINANCIAL GROUP | HEMLOCK WEALTH MANAGEMENT | GILTNER & ASSOCIATES | FULSHEAR WEALTH | FELDMEYER FINANCIAL GROUP | EVERGLADES PARKLAND ADVISORS | DWT WEALTH | CREATED WEALTH | COMMUNITY FINANCIAL ADVISORS INC. | CLIENTFIRST FINANCIAL STRATEGIES | CHEN WEALTH SERVICES LLC | CAREY DITTOE WEALTH MANAGEMENT | CALLAHAN FINANCIAL | BRITTISON FINANCIAL GROUP, INC. | BEACON WAY WEALTH MANAGEMENT | ALTA VERA GLOBAL CAPITAL ADVISORS
Contact Information
Main Address
24400 Chagrin Blvd. Suite 310, Beachwood, OH 44122Phone Number
(216) 865-1700# of Employees
264SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
26,700AUM (Assets Under Management)
$7,717,771,462Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2024 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
AIM WEALTH MANAGEMENT GROUP, LLC | WOLFE WEALTH MANAGEMENT | WEALTHCREATE | WEALTH SOLUTIONS | WEALTH PLANNING AND DESIGN | WE ARE ONE SEVEN, LLC | VALENTINE WEALTH ADVISORS | THE JAICKS GROUP | THE HAMILTON GROUP | THE FULSHEAR WEALTH MANAGEMENT GROUP | TCWP LLC | STUDEMONT GROUP, LP | STRUCTURE WEALTH MANAGEMENT | STRATOS INVESTMENTS OF ONESEVEN | STONE CREEK ADVISORS | STEADFAST WEALTH STRATEGIES | SHINTANI WEALTH MANAGEMENT SERVICES | S3 RETIREMENT | ROSEHAVEN FAMILY OFFICE | ROMERO WEALTH MANAGEMENT | RISE CAPITAL | RETIREMENT PLANNING SOLUTIONS BY THE JAICKS GROUP | RESOLUTE WEALTH MANAGEMENT | REFLECTIONS LIFE INVESTMENTS LLC | REFLECTIONS LIFE INVESTMENTS | R J CAMPBELL INVESTMENTS, LLC | PONDERA WEALTH | PILLAR WEALTH GROUP, LLC | PARK CITY WEALTH ADVISORS | PALM COAST WEALTH MANAGEMENT | PACELINE ADVISORS LLC | ONPOINT WEALTH PARTNERS | ONESEVEN / WE ARE ONE SEVEN | ONESEVEN | ONE SEVEN | NORTH MOUNTAIN WEALTH MANAGEMENT, LLC | MOSKAL GROSS ORCHOSKY | MGO, INC. | MGO ONE SEVEN LLC | MGO ONE SEVEN | MGO ADVISORS | MGO | MG ADVISORS | MCCONNELL FINANCIAL | MB WEALTH MANAGEMENT GROUP | MARTZ FINANCIAL | MANAGED WEALTH SOLUTIONS | MAGNETIC NORTH FINANCIAL | LIFE TRANSITIONS PLANNING, LLC | LIFE TRANSITIONS PLANNING | LEGACY WEALTH GROUP | LEGACY ADVISORS | LATTICE WEALTH MANAGEMENT | LAKE HOUSE PRIVATE WEALTH MANAGEMENT | JTM WILLIAMS CAPITAL MANAGEMENT | JRP CAPITAL | JP INVESTMENTS GROUP | J WELLINGTON FINANCIAL | IRONCLAD WEALTH MANAGEMENT | HYPERION WEALTH GROUP | HTR WEALTH MANAGEMENT | HOPE FINANCIAL GROUP | HEMLOCK WEALTH MANAGEMENT | GILTNER & ASSOCIATES | FULSHEAR WEALTH | FELDMEYER FINANCIAL GROUP | EVERGLADES PARKLAND ADVISORS | DWT WEALTH | CREATED WEALTH | COMMUNITY FINANCIAL ADVISORS INC. | CLIENTFIRST FINANCIAL STRATEGIES | CHEN WEALTH SERVICES LLC | CAREY DITTOE WEALTH MANAGEMENT | CALLAHAN FINANCIAL | BRITTISON FINANCIAL GROUP, INC. | BEACON WAY WEALTH MANAGEMENT | ALTA VERA GLOBAL CAPITAL ADVISORS
State Registrations and Notice Filings
(1/2/2025)
(1/31/2024)
(2/27/2025)
(1/2/2025)
(4/5/2022)
(4/14/2022)
(1/2/2025)
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 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2020About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2019About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Herbert Chen's CRS (Customer Relationship Summary).
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