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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

XIN CHEN

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Bellevue, WA

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Search this name across graphsid dfx:ria:d3902cee-4e1d-112b-2b20-3e6ef75547e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 8, 2012 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 17, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Apr 17, 2012
First registration: May 8, 2012
Dual registered: yes, broker-dealer
Other names: Cecilia Chen
IAPD individual key: 6034646

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Apr 7, 2026	n/a	yes	Bellevue, WA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 30, 2025	Apr 7, 2026	no	Bellevue, WA\|Bellevue, WA	Previous registration
HSBC SECURITIES (USA) INC.	Bd affiliated wealth	Apr 28, 2015	Nov 5, 2025	no	BELLEVUE, WA\|MERCER ISLAND, WA\|SEATTLE, WA\|Buffalo, NY\|Seattle, WA\|BELLEVUE, WA\|Bellevue, WA\|Buffalo, NY\|REDMOND, WA\|BELLEVUE, WA\|Bellevue, WA\|BELLEVUE, WA\|BELLEVUE, WA\|KIRKLAND, WA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 8, 2012	Apr 15, 2015	no	COLUMBIA, MD\|ARLINGTON, VA\|SEATTLE, WA\|SEATTLE, WA\|BELLEVUE, WA	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
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 7, 2026	Apr 7, 2026	0	Firm change	Ibd to ibd
HSBC SECURITIES (USA) INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 5, 2025	Oct 30, 2025	-6	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	HSBC SECURITIES (USA) INC.	Apr 15, 2015	Apr 28, 2015	13	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Apr 7, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 30, 2025 to Apr 7, 2026factForm ADV
→ HSBC SECURITIES (USA) INC.Registered adviserregistration: previous registration
Apr 28, 2015 to Nov 5, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 8, 2012 to Apr 15, 2015factForm ADV

Dated events

Occurred
Apr 7, 2026
Advisor changed firm
Xin Chen left Ameriprise Financial Services, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-04-07)
Form ADVobserved 3 days ago
Occurred
Nov 5, 2025
Advisor changed firm
Xin Chen left Hsbc Securities (Usa) Inc. for Ameriprise Financial Services, Llc (registered 2025-10-30)
Form ADVobserved 3 days ago