Arthur
Chen

W&S Brokerage Services, Inc

CRD#2784305
Investment Advisor
in Cerritos, CA

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About this Advisor

Arthur Chen is a financial advisor who works out of Cerritos, California. Chen works at W&S Brokerage Services, Inc. Over the course of their career, Chen has held roles at Guardian Life Ins Company, Park Avenue Securities, Mass Mutual Life Insurance Company, Mml Investors Services, W&S Brokerage Services and Western & Southern Life. Chen maintains Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and can operate in California. W&S Brokerage Services, Inc is a financial advisory company that has its headquarters in Cincinnati, OH. The firm has offices in 50 locations and a total of 71 advisors. It administers $54 million in assets under management between its 233 accounts, placing it among the smaller firms in the United States by assets under management. The company provides a set of services, such as portfolio management for individuals and small businesses and selection of other advisers. Fees charged by financial advisors largely depend on the services provided. However, fees charged by W&S Brokerage Services, Inc typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

less than 1 year

Services Offered

Portfolio management for individuals and/or small businesses, Selection of other advisers

Fee Structure

Percentage of Assets

Office Location

17777 Center Court Drive Suite 625
Cerritos, CA 90703

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W&S Brokerage Services, Inc Brokerage Details

Total Assets Under Management

$53,837,000

CA Average: $2,106,341,625
Total Number of Employees

71

CA Average: 34
Total Number of Accounts

233

CA Average: 1,972
Average Account Size

$231,060

CA Average: $1,068,125

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers

Arthur Chen Work History

Arthur has been registered as a financial advisor for 0 years.*

2023 - Present (1 year)

W&S Brokerage Services

2023 - Present (1 year)

Western & Southern Life

2013 - 2022 (9 years)

Mass Mutual Life Insurance Company

2013 - 2022 (9 years)

Mml Investors Services

2012 - 2013 (1 year)

Guardian Life Ins Company

2012 - 2013 (1 year)

Park Avenue Securities

*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 Arthur 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 W&S Brokerage Services, Inc

Dianna Jeffries
Cary, NC
Salvatore Lauri
Wayne, PA
Shawn Scott
Cincinnati, OH
Henry Rossi
Ft Mitchell, KY
Robert Neff
Findlay, OH
Kristie Damore
Troy, MI
Shawn Williams
Cary, NC
Michael Ricciardi
Wayne, PA

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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