Leo 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.
Leo Chen, CFP®, who also goes by Leoo J Chen, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 2018. Leo had worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2022 - February 8, 2024
ADERO PARTNERS, LLC
October 12, 2018 - December 14, 2020
AVANTAX INVESTMENT SERVICES, INC.
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
Series 6TO
Date: 10/12/2018
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ADERO PARTNERS, LLC
CRD#: 297808 / SEC#: 801-113671
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,664 |
| AUM (Assets Under Management) | $ 4,382,594,653 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 03/26/2024 | ||
| 01/09/2023 |
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.
