Joe M. Chin

INSTITUTIONAL ADVISOR SERVICES

FRESNO, CA 93720-1530

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CRD#: 714462

Professional summary

Joe Michael Chin, who also goes by J. Michael Chin, Mike Chin, is a registered financial advisor currently at INSTITUTIONAL ADVISOR SERVICES located in Fresno, California.

Joe is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Joe has worked at 7 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J. Michael Chin | Mike Chin

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.

BROKER-HEALTH INS: BLUE CROSS, BLUE SHIELD, HARTFORD, UNITED AMERICAN, UNUM, PROVIDENT, D MICHAEL RUDE INSURANCE SERVICES, GUARDIAN. LIFE INSURANCE - FIXED PRODUCTS/TERM ONLY: TRANSAMERICA, EMPIRE GENERAL, FIRST COLONY, AMERUS.PRINCIPAL FINACIAL, GUARDIAN FIXED ANNUITIES: JACKSON NATIONAL, MANULIFE DISABILITY: PROVIDENT, PRINCIPAL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Michael Chin'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

January 4, 2013 - Present

INSTITUTIONAL ADVISOR SERVICES

Office #1: 9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530

RIA

CRD#: 44960

FRESNO, CA

Past

July 9, 2008 - December 31, 2012

BEECHWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 147113

FRESNO, CA

Past

February 5, 2007 - April 22, 2008

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

FRESNO, CA

Past

February 5, 2007 - April 22, 2008

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

FRESNO, CA

Past

July 10, 2003 - January 17, 2007

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

FRESNO, CA

Past

May 3, 1999 - January 17, 2007

PARK AVENUE SECURITIES LLC

CRD#: 46173

FRESNO, CA

Past

November 6, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 20, 1980 - November 4, 1997

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

August 25, 1980 - November 4, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, 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".

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL

CRD#: 44960 / SEC#: 801-112596, 8-50897

RIA

Registered Investment Advisory firm - SEC (3/8/2018 Approved)

California

Registered Investment Advisory firm - SEC (4/18/2018 Terminated)

Terminated by SEC on 12/30/2003

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(1/4/2013)

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

General Industry/Product Exam

Series 1

Date: 8/12/1980

Registered Representative Examination

Current Firm

INSTITUTIONAL ADVISOR SERVICES

INSTITUTIONAL ADVISOR SERVICES | PLAN LIFE & WEALTH MANAGEMENT, INC. | PLAN FINANCIAL INC. | PLAN FINANCIAL

CRD#: 44960 / SEC#: 801-112596, 8-50897

RIA

Registered Investment Advisory firm - SEC (3/8/2018 Approved)

California

Registered Investment Advisory firm - SEC (4/18/2018 Terminated)

Terminated by SEC on 12/30/2003

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Contact information

Main Address

9 E River Park Pl E, Suite 440, Fresno, CA 93720-1530

Mailing Address

Phone number

(559) 433-1110

Established

California since 06/10/1993

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
HOOPER, JOHN ROBERT	PRESIDENT/CCO/CFO/DIRECTOR	1573967
KOLBERT, ROBERT LEE	DIRECTOR	2128544
LONGSTAFF, JOHN SCOTT	DIRECTOR	1203969
PRENDERGAST, MARK LOUIS	DIRECTOR

Regulatory assets under management

Total Number of Accounts	744
AUM (Assets Under Management)	$ 180,837,833

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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Firm Stability Insights

Joe M. Chin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joe Michael Chin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEECHWOOD WEALTH ADVISORS, LLC

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

INSTITUTIONAL ADVISOR SERVICES

State Registrations and Notice Filings

Exams

Series 1

Date: 8/12/1980

Current Firm

INSTITUTIONAL ADVISOR SERVICES

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

INSTITUTIONAL ADVISOR SERVICES

TRUST BUT VERIFY

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