Adviser and broker representative · Principal Securities, Inc.
Han Chen
CRD 3111399 · Irvine, CA
At a glance
Han Chen is an investment adviser representative with Principal Securities, Inc. in Irvine, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Han’s SEC record dates to 2007, about 19 years ago. Han is also registered as a broker representative. Designations on file: Chartered Financial Analyst.
Current advisory firm
- Principal Securities, Inc.Since October 2008Irvine, CA · $17B in regulatory assets
SEC adviser record
- Registered since
- 2007 (19 years)
- Designations
- Chartered Financial Analyst
- Exams
- Series 63, Series 65
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Han’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.