Fred
Chen

Emerson Equity LLC

CRD#5766069
Investment Advisor
in Irvine, CA

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About this Advisor

Fred Chen is a financial advisor operating out of Irvine, California with a total of 3 years of industry experience. Chen is currently employed by Emerson Equity LLC. Over the course of their career, Chen has held roles at Union Bank, Chase Bank, Lpl Financial, LLC, Emerson Equity LLC, Arque Capital and Life Insurance Co. Of The Southwest. Chen holds Series 66 and Series 63 licenses, designating them as a securities broker, and can operate in California. Emerson Equity LLC is an advisory company operating out of San Mateo, CA. The investment advisory business has offices in nine locations and a total of 208 financial advisors. It handles $189 million in assets among its 526 client accounts, making it one of the mid-sized financial advisory firms in the nation by assets under management. Of its 526 customer accounts, 15% belong to high-net-worth individuals who have greater than $1 million in assets. The advisory firm performs a number of services, including financial planning services, portfolio management for individuals and small businesses, selection of other advisers, educational seminars and other services. Fees for financial advisory services usually depend on the financial services. Fees billed by Emerson Equity LLC likely include any blend of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 66, Series 63

Years Registered*

3 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

9940 Research Drive Suite 200
Irvine, CA 92618

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Emerson Equity LLC Brokerage Details

Total Assets Under Management

$189,338,704

CA Average: $7,578,581,321
Total Number of Employees

208

CA Average: 43
Total Number of Accounts

526

CA Average: 3,727
Average Account Size

$359,960

CA Average: $2,033,427

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Fred Chen Work History

Fred has been registered as a financial advisor for 3 years.*

2021 - Present (3 years)

Life Insurance Co. Of The Southwest

2020 - Present (4 years)

Emerson Equity LLC

2018 - 2020 (2 years)

Arque Capital

2017 - 2018 (1 year)

Lpl Financial, LLC

2014 - 2017 (3 years)

Chase Bank

2012 - 2014 (2 years)

Union Bank

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Fred Chen to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Emerson Equity LLC

Dhruv Gupta
San Mateo, CA
Nicholas Stafford
Irvine, CA
Ashley Romiti
Irvine, CA
Derek Vogel
Irvine, CA
Milan Baldini
San Mateo, CA
Matthew Larson
San Mateo, CA
Germaine Ma
Irvine, CA
Vanessa Loflin
Irvine, CA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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