Brian Yue-An Chen

CRD 3071668 · Charles Schwab & Co., Inc. · Westlake, TX

Broker

Also appears in the source record as: Brian Y Chen; Brian Yuean Chen; Yue-An Chen; Yuean Chen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Not registered in this capacity
Exams passed (10): Series 57TOSIESeries 52Series 3Series 55Series 7Series 87Series 53Series 24Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Westlake, TX · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Corona Del Mar, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Westlake, TX · IA capacity

start not retrieved → present
Rbc Capital Markets, LLC
New York, NY · BC capacity

Jun 21, 2016 → Dec 26, 2017
Citadel Securities LLC
New York, NY · BC capacity

May 26, 2015 → Jun 3, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
New York, NY · BC capacity

Apr 15, 2013 → May 4, 2015
Cowen And Company
New York, NY · BC capacity

Jul 30, 2012 → Feb 15, 2013
The Princeridge Group LLC
New York, NY · BC capacity

Feb 2, 2012 → Jun 28, 2012
Ronin Capital, LLC
Chicago, IL · BC capacity

Apr 27, 2011 → Jan 30, 2012
J.P. Morgan Securities Inc.
New York, NY · BC capacity

Jul 21, 2005 → Mar 2, 2007
Assent LLC
Bolingbrook, IL · BC capacity

Mar 3, 2003 → Jun 17, 2004
Andover Brokerage, L.L.C.
Montebello, NY · BC capacity

Dec 17, 2002 → Mar 3, 2003

Source & corrections

Where this page comes from

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