NORBERT YUCHIU CHEN

NORBERT YUCHIU CHEN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 12021 WENDY ST, CERRITOS, CA, 90703-7550.

NORBERT YUCHIU CHEN has worked at LPL FINANCIAL LLC since April 07, 2004

Disclosure History

NORBERT YUCHIU CHEN has 1 Disclosure Event(s).

Date: May 18, 2017
Category: Customer Dispute
Allegations: CUSTOMER COMPLAINED THAT REPRESENTATIVE HAD PROVIDED INCORRECT INFORMATION ABOUT WHETHER WITHDRAWAL FROM VARIABLE ANNUITY WOULD BE TAXABLE INCOME, AND ALSO COMPLAINED ABOUT REDUCTION IN VARIABLE ANNUITY DEATH BENEFIT. CUSTOMER STATED THAT HE REQUESTS FAIR COMPENSATION FOR THESE CIRCUMSTANCES. ACTIVITY DATE 8/17/16.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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