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Daniel "Danny" Chen

Daniel "Danny" Chen
Other Names: Daniel Chen, Daniel R Chen, Daniel Romero Chen
Firm:
DBA:

Rockdale Associates

Type: Dual Registration

Description

Daniel R Chen is a representative at Multi-Financial Securities Corporation. Multi-Financial Securities Corporation primarily manages accounts for individuals, corporations or other businesses, and pension and profit sharing plans and has more than $3B in assets under management. This advisor is dually registered with FINRA ...(see more)

BrightScope Advisor Metrics

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Answers and Guides

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Level 19 Level 19 Contributor 50 Answers and 3 Financial Guides

Top Answers

Answered Aug 16, 2012 near Ocean, NJ
10 votes
John, In my opinion, the best course of action to take in allocating this inheritence is to clearly identify your near and longer term goals. Assess the type of risk you want to take in achieving those goals and then allocate a portion to various assets ...(more)
Answered Jun 13, 2012 near Ocean, NJ
9 votes
Joss, Credit ratings on bonds reflect the ability of the issuer to pay on the principle and interest promised. Triple A reflect the highest probability that the issuer can fullfill the promise made and as a result are the safest to invest in. That being ...(more)
Answered Apr 25, 2012 near Ocean, NJ
8 votes
Ryan, I agree with Barry for the most part. However, given the extreme volitility in today's markets, you may want to consider some type of tactical strategy that will overweight and underweight this asset class given changing global conditions while ...(more)
See more Answers

Top Guides

Questions to ask when Interviewing an Financial Advisor!

Published Aug 01, 2012
1 vote
Questions to ask when interviewing an advisor Questions You Should Ask Your Financial Advisor 1)What Is Your Professional Experience With Regard To The Financial Markets? 2)Have You Ever Had A Complaint Or Litigation? Can you ...(more)

ROTH IRA versus the Traditional IRA

Published Jun 25, 2012
7 votes
Roth vs the Traditional IRA According to the guidelines, your eligible for a Traditional IRA and a ROTH IRA. Which one should you choose? If you do not need the tax break today, then choose ...(more)

Do You Need a Portfolio Strategiest??

Published Jun 25, 2012
8 votes
Do You need a Portfolio Strategist? Sports Analogy The analogy of sport teams and investment teams who both want to win are similar in many ways. Imagine that you own a professional football team. As ...(more)
*Answers and guides are provided without compensation.

Advisor Information

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Articles/Publications

New Jersey Monthly - January 2011 Issue

Daniel Chen, a 5 Star Wealth Manager, as featured in the January 2011 issue of New Jersey Monthly.

Investor Watchdog Blogs

Independently written articals that support the interest of individual investors.

Newsweek-Wealth Managers of New Jersey

We are a “Wealth Management“ practice that assists individuals in navigating the complexities of growing and maintaining wealth. Our pledge is to provide quality information so that individuals may make sound choices about their financial future. Our customized six step process is designed to provide clarity and understanding in achieving your desired objectives. I am proud to share with you the recent recognition that has been bestowed upon me by the following two major publications. Newsweek Magazine listing of "Wealth Managers of New Jersey " is a prestigious recognition awarded to only a select few. .... http://www.newsweekshowcase.com/financial-services/financial-planning/Multi-Financial-Securities-Corp New Jersey Monthly Magazine listing of "Five Star Wealth Managers" is a prestigious recognition of the top two percent of Wealth Managers in the state..... http://www.pageturnpro.com/Crescendo-Business-Services/22750-2011-NJ-WM-Daniel-Chen/index.html#1

Advisor Assets Under Management

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$40.0M
Total Assets
120
Clients
$333.3K
Estimated Average Account Balance Per Client
*An individual AUM and number of accounts has been entered by the advisor and has not been verified.

Firm Client Types

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ownership pie chart
Individuals
Charitable Organizations
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Cetera Advisors LLC 9 years, 4 months Jan 2004 - Present
Rockdale Associates, Inc. 5 years, 7 months Jun 1998 - Jan 2004
Vestax Securities Corporation 5 years, 7 months Jun 1998 - Jan 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 08/13/2010, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
08/13/2010
10/21/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
General Securities Principal Examination Series 24 12/06/2007
General Securities Representative Examination Series 7 01/03/2007
Investment Company Products/Variable Contracts Representative Examination Series 6 02/20/1997
Uniform Securities Agent State Law Examination Series 63 02/22/1993
Municipal Securities Representative Examination Series 52 02/13/1984

Advisor Compensation Arrangements

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Types of Compensation Arrangements

Compensation Arrangement Chart