Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that California-based Citigroup Global Markets broker/adviser Grace Chen, also known as Yu-Chin Chen, has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Chen (CRD# 3041928).
Grace Chen has spent 20 years in the securities industry and has been registered with Citigroup Global Markets in Arcadia and Diamond Bar, California since 2016. Previous registrations include Wells Fargo Advisors in Cupertino, California (2015-2016); Cetera Investment Services in Cupertino, California (2013-2015); Wells Fargo Advisors in Palo Alto, California (2012-2013); Chase Investment Services in San Jose, California (2011-2012); Financial Network Investment Corporation in Los Angeles, California (2003-2001); Core Pacific Securities USA in Covina, California (2001-2003); American Express Financial Advisors in Minneapolis, Minnesota (1999-2001); IDS Life Insurance Company in Minneapolis, Minnesota (1999-2001); and Pruco Securities in Newark, New Jersey (1998-1999). She has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on May 18, 1998; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on May 11, 1998; Series 24 (General Securities Principal Examination), which she obtained on August 27, 2005; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which she obtained on November 20, 2002. She is a registered broker and investment adviser with three US states: California, Rhode Island, and Virginia. Her self-regulatory organization (SRO) registrations include Cboe BYX Exchange, Cboe EDGA Exchange, FINRA, Investors’ Exchange LLC, NYSE American LLC, NYSE Arca, Nasdaq BX, Nasdaq ISE, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received one pending customer complaint and one denied customer complaint.