AC
CFP
AC
CFP

Albert Chen

13 Years of Experience
1 Disclosure
Areas of Practice
Retirement PlanningEstate PlanningTax PlanningInsurance PlanningInvestment Management
Compensation
Fee-Only (AUM)
Firm Size
3 advisors
Number of Clients
403 clients
Average Client Portfolio
$180K average
Assets Under Management
$72.3M
Loading...

Location

5 Dowd Cir, Suite B, Pinehurst, NC, 28374

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2021
Settled
Other Business Activities

Albert is a co-owner of Course Management Real Estate Partners, a commercial real estate portfolio specializing in retail office space, since 2020. He spends a few hours per week ensuring the property is maintained to professional standards.

Employment History
Current Registrations
Course Management Investment Advisors, LLC
February 2020 - Present · 6 yrs
Previous Registrations
LPL Financial LLCBroker
April 2015 - March 2020 · 4 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2012 - April 2015 · 2 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2012 - April 2015 · 2 yrs 5 mos
Mutual of Omaha Investor Services, INC.
July 2012 - October 2012 · 3 mos
Mutual of Omaha Investor Services, INC.Broker
January 2012 - October 2012 · 9 mos
State Registrations5 states
FLNCSCTXVA
Advisor
Exams
No exam information available for this advisor.
Albert Chen - Financial Advisor | TrueAdvisor