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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

Andrew Rocky Chen

Advisor at PRIVATE ADVISOR GROUP, LLC

MORRISTOWN, NJ | ROSEVILLE, CA

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Search this name across graphsid dfx:ria:dca82d4a-7539-c46e-3ea1-c80e8cf1f624

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2010 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: PRIVATE ADVISOR GROUP, LLC
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: Jan 1, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom 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
First exam: Apr 8, 2010
First registration: Apr 9, 2010
Dual registered: yes, broker-dealer
Other names: ANDREW R CHEN
IAPD individual key: 5746454

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
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Aug 25, 2026	n/a	yes	ROSEVILLE, CA\|MORRISTOWN, NJ	Current employment
MARINER ADVISOR NETWORK	Bd affiliated wealth	Aug 1, 2019	Jun 26, 2026	no	Roseville, CA	Previous registration
RUBICON ADVISORS	Independent wealth	Oct 25, 2017	Aug 20, 2019	no	Roseville, CA\|REDDING, CA\|Roseville, CA	Previous registration
EDWARD JONES	National bd RIA	Apr 9, 2010	Oct 26, 2017	no	ROSEVILLE, CA\|SACRAMENTO, CA\|ST LOUIS, MO	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
MARINER ADVISOR NETWORK	PRIVATE ADVISOR GROUP, LLC	Jun 26, 2026	Aug 25, 2026	60	Bulk transfer	Ibd to ibd
RUBICON ADVISORS	MARINER ADVISOR NETWORK	Aug 20, 2019	Aug 1, 2019	-19	Firm change	RIA to RIA
EDWARD JONES	RUBICON ADVISORS	Oct 26, 2017	Oct 25, 2017	-1	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: current employment
Aug 25, 2026 to presentfactForm ADV
→ MARINER ADVISOR NETWORKRegistered adviserregistration: previous registration
Aug 1, 2019 to Jun 26, 2026factForm ADV
→ RUBICON ADVISORSRegistered adviserregistration: previous registration
Oct 25, 2017 to Aug 20, 2019factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Apr 9, 2010 to Oct 26, 2017factForm ADV

Dated events

No dated event names this entity yet.