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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Peter Pin Chen

Advisor at STONEMARK WEALTH MANAGEMENT

PASADENA, CA

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Search this name across graphsid dfx:ria:3e6d6c2c-cd4b-32f0-72b6-5ac6a8a0c608

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STONEMARK WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 26, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Sep 26, 1997
First registration: Jul 27, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 2880266

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STONEMARK WEALTH MANAGEMENT	Independent wealth	Sep 21, 2011	n/a	yes	PASADENA, CA	Current employment
WESPAC ADVISORS, LLC	Other adviser	Sep 23, 2009	Jan 11, 2012	no	PASADENA, CA	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Dec 10, 2008	Jul 7, 2009	no	Sherman Oaks, CA	Previous registration
TOWER ASSET MANAGEMENT LLC	n/a	Jul 27, 2004	Jul 6, 2009	no	BEVERLY HILLS, CA	Previous registration
M.L. STERN & CO., LLC.	n/a	Jul 27, 2004	Apr 7, 2009	no	BEVERLY HILLS, CA\|BEVERLY HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WESPAC ADVISORS, LLC	STONEMARK WEALTH MANAGEMENT	Jan 11, 2012	Sep 21, 2011	-112	Firm change after gap	Other
HILLTOP SECURITIES INC.	WESPAC ADVISORS, LLC	Jul 7, 2009	Sep 23, 2009	78	Firm change	Other
TOWER ASSET MANAGEMENT LLC	HILLTOP SECURITIES INC.	Jul 6, 2009	Dec 10, 2008	-208	Firm change after gap	Other
M.L. STERN & CO., LLC.	TOWER ASSET MANAGEMENT LLC	Apr 7, 2009	Jul 27, 2004	-1,715	Firm change after gap	Other

Relationships

Registered with (5)

→ STONEMARK WEALTH MANAGEMENTRegistered adviserregistration: current employment
Sep 21, 2011 to presentfactForm ADV
→ WESPAC ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 23, 2009 to Jan 11, 2012factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Dec 10, 2008 to Jul 7, 2009factForm ADV
→ TOWER ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Jul 27, 2004 to Jul 6, 2009factForm ADV
→ M.L. STERN & CO., LLC.Registered adviserregistration: previous registration
Jul 27, 2004 to Apr 7, 2009factForm ADV

Dated events

No dated event names this entity yet.