Jia H. Chen

AE WEALTH MANAGEMENT

Warwick, RI 02886

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CRD#: 7062499

Professional summary

Jia H Chen is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Warwick, Rhode Island.

Jia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Jia has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Massey & Associates, Inc; Yes, Investment Related; 250F Centerville Rd, Warwick, RI 02886; Insurance Sales; POSITION Lead Financial Advisor; Start Date 03/2025; Approx. 80 hours a month; Approx. 80 hours during trading; Insurance Sales and Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jia H Chen's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 14, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 250f Centerville Rd, Warwick, RI 02886

RIA

CRD#: 282580

Warwick, RI

Past

April 8, 2024 - March 25, 2025

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

Providence, RI

Past

April 22, 2022 - April 12, 2024

TLG ADVISORS, INC.

RIA

CRD#: 111052

San Francisco, CA

Past

April 6, 2022 - April 12, 2024

THE LEADERS GROUP, INC.

CRD#: 37157

San Francisco, CA

Past

September 17, 2019 - June 7, 2021

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA

CRD#: 174433

BOSTON, MA

Past

September 12, 2019 - June 7, 2021

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

April 24, 2019 - June 13, 2019

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

ALBANY, NY

Past

February 12, 2019 - June 13, 2019

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

ALBANY, NY

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(4/14/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 5/7/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/12/2019

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/24/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/12/2019

Securities Industry Essentials Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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.

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Advisor Monitoring

Firm Stability Insights

Jia H. Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jia H Chen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

TLG ADVISORS, INC.

THE LEADERS GROUP, INC.

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS WEALTH SERVICES, L.P.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/7/2019

Series 65

Date: 2/12/2019

Series 7TO

Date: 4/24/2019

SIE

Date: 3/12/2019

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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