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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)11 years in industry

Kelvern Chen

Advisor at NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

New York, NY

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Search this name across graphsid dfx:ria:45ecc5a3-dd5f-77ae-ce97-0f44ff9ab41a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2015 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: NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 29, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Dec 29, 2014
First registration: Jul 31, 2015
Dual registered: yes, broker-dealer
Other names: Kelvern Chen|VOON L CHEN|KELVERN VOON Chen|Kelvern Chen|Kelvern Chen|Kelvern Chen|Voon Chen|Voon Chen|Kelvern Chen
IAPD individual key: 5679957

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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Sep 17, 2021	n/a	yes	New York, NY	Current employment
TD AMERITRADE, INC.	Former SEC adviser	Jul 28, 2020	Jul 14, 2021	no	New York, NY\|NEW YORK, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 27, 2020	Jul 14, 2021	no	NEW YORK, NY\|New York, NY\|New York, NY	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Mar 13, 2019	Jul 7, 2020	no	Brooklyn, NY\|Scotch Plains, NJ\|BROOKLYN, NY\|Flushing, NY	Previous registration
UNFCU ADVISORS LLC	Other adviser	Aug 1, 2018	Jan 22, 2019	no	New York, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jun 7, 2016	May 1, 2018	no	NEW YORK, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 5, 2015	May 4, 2016	no	FOREST HILLS, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jul 31, 2015	May 4, 2016	no	Forest Hills, NY	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 14, 2021	Jul 28, 2020	-351	Channel change	Other
TD AMERITRADE, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jul 14, 2021	Sep 17, 2021	65	Firm change	Other
SANTANDER SECURITIES	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 7, 2020	Jul 27, 2020	20	Firm change	Ibd to RIA
UNFCU ADVISORS LLC	SANTANDER SECURITIES	Jan 22, 2019	Mar 13, 2019	50	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	UNFCU ADVISORS LLC	May 1, 2018	Aug 1, 2018	92	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 4, 2016	Aug 5, 2015	-273	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 4, 2016	Jun 7, 2016	34	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:136572:NY:2018-05-01	May 1, 2018	Aug 1, 2018	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: current employment
Sep 17, 2021 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 27, 2020 to Jul 14, 2021factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jul 28, 2020 to Jul 14, 2021factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Mar 13, 2019 to Jul 7, 2020factForm ADV
→ UNFCU ADVISORS LLCRegistered adviserregistration: previous registration
Aug 1, 2018 to Jan 22, 2019factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jun 7, 2016 to May 1, 2018factForm ADV

Dated events

No dated event names this entity yet.