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RIA / WealthAdvisorCertified Financial Planner14 years in industry

ALBERT CHEN

Advisor at COURSE MANAGEMENT INVESTMENT ADVISORS, LLC

PINEHURST, NC

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Search this name across graphsid dfx:ria:e1ade0f8-a5c4-a607-db39-ce914f48c3d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 23, 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: COURSE MANAGEMENT INVESTMENT ADVISORS, LLC
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: Jan 26, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Jan 26, 2012
First registration: Jul 23, 2012
Dual registered: no
Other names: ALBERT H CHEN
IAPD individual key: 5996821

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
COURSE MANAGEMENT INVESTMENT ADVISORS, LLC	Independent wealth	Feb 27, 2020	n/a	yes	PINEHURST, NC	Current employment
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS	Former SEC adviser	Apr 22, 2015	Apr 16, 2020	no	COLUMBIA, SC\|Raleigh, NC\|Pinehst, NC	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 13, 2012	Apr 16, 2015	no	COLUMBIA, SC\|COLUMBIA, SC\|COLUMBIA, SC	Previous registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	Independent wealth	Jul 23, 2012	Oct 23, 2012	no	COLUMBIA, SC	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
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS	COURSE MANAGEMENT INVESTMENT ADVISORS, LLC	Apr 16, 2020	Feb 27, 2020	-49	Firm change after gap	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS	Apr 16, 2015	Apr 22, 2015	6	Firm change	Other
MUTUAL OF OMAHA INVESTOR SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2012	Nov 13, 2012	21	Firm change	Other

Relationships

Registered with (4)

→ COURSE MANAGEMENT INVESTMENT ADVISORS, LLCRegistered adviserregistration: current employment
Feb 27, 2020 to presentfactForm ADV
→ HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTSRegistered adviserregistration: previous registration
Apr 22, 2015 to Apr 16, 2020factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 13, 2012 to Apr 16, 2015factForm ADV
→ MUTUAL OF OMAHA INVESTOR SERVICES, INC.Registered adviserregistration: previous registration
Jul 23, 2012 to Oct 23, 2012factForm ADV

Dated events

No dated event names this entity yet.