DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Steve Ching Huang Chen
Feed of 09/14/2026
Also filed as Ching Huang Chen
At current firm
12 y
since Aug 5, 2014
In the industry
26 y
since Mar 2, 2000 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Aug 5, 2014 · Arcadia, Ca
- Cuso Financial Services, L.P. formerApr 8, 2014 to Jul 25, 2014 · Los Angeles, Ca
- U.S. Bancorp Investments, Inc. formerSep 6, 2013 to Apr 9, 2014 · Lake Forest, Ca
- Cetera Investment Services LLC formerOct 28, 2009 to Sep 9, 2013 · City Of Industry, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Oct 29, 2009 · Los Angeles, Ca
- Banc Of America Investment Services, Inc. unclassifiedOct 1, 2008 to Oct 23, 2009 · Los Angeles, Ca
- Hsbc Securities (USA) Inc. BD affiliatedOct 23, 2006 to Sep 30, 2008 · Arcadia, Ca
- Uvest Financial Services Group, Inc. unclassifiedAug 25, 2005 to Oct 6, 2006 · Arcadia, Ca
- Citicorp Investment Services unclassifiedApr 27, 2004 to Aug 12, 2005 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cuso Financial Services, L.P. to Cetera Investment Advisers LLCleft Jul 25, 2014, registered Aug 5, 2014 (11 days) · Other
- U.S. Bancorp Investments, Inc. to Cuso Financial Services, L.P.left Apr 9, 2014, registered Apr 8, 2014 (-1 days) · Other
- Cetera Investment Services LLC to U.S. Bancorp Investments, Inc.left Sep 9, 2013, registered Sep 6, 2013 (-3 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Cetera Investment Services LLCleft Oct 29, 2009, registered Oct 28, 2009 (-1 days) · Other
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Hsbc Securities (USA) Inc. to Banc Of America Investment Services, Inc.left Sep 30, 2008, registered Oct 1, 2008 (1 days) · Other
- Uvest Financial Services Group, Inc. to Hsbc Securities (USA) Inc.left Oct 6, 2006, registered Oct 23, 2006 (17 days) · Other
- Citicorp Investment Services to Uvest Financial Services Group, Inc.left Aug 12, 2005, registered Aug 25, 2005 (13 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address