Albert Chen has been Founder of Course Management Investment Advisors since October 2019, is a control person of the firm and directly owns between 50% and 75% of it. Albert Chen studied at Florida State University.
Course Management Investment Advisors, LLC is a Pinehurst, NC firm with $100M under management, 161 clients and 3 advisers in one office, as of its May 2026 filing.
Albert Chen is Founder & Partner of Course Management Investment Advisors. He ran restaurants in Columbia, South Carolina, then joined Merrill Lynch, where he was on a team before founding the firm.
Albert Chen’s longest registration is the current one, 6 years at Course Management Investment Advisors since 2020. Before joining Course Management Investment Advisors in 2020, Albert Chen was registered through Householder Group Estate & Retirement Specialists and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · 6 yearsPinehurst, NC · Adviser representative · Firm CRD 306974
- Householder Group Estate & Retirement Specialists– · 4 yearsRaleigh, NC · Adviser representative · Firm CRD 169045
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 2 yearsColumbia, SC · Adviser representative · Firm CRD 7691
- Mutual of Omaha Investor Services, Inc.– · under a yearColumbia, SC · Adviser representative · Firm CRD 611
Professional designations
Listed by Course Management Investment Advisors
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Albert Chen is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from February 2020; the most recent is Florida, in September 2024.
- FloridaSince 20 September 2024
- North CarolinaSince 7 May 2020
- South CarolinaSince 13 May 2020
- TexasResidentSince 27 February 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 24 September 2012 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 July 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 January 2012 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 January 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 5996821
- Firm
- Course Management Investment Advisors · CRD 306974
- Role
- Founder
- Office
- 5 DOWD CIR, SUITE B, Pinehurst, NC 28374
- Registration
- Investment adviser registration
- In the industry since
- February 2012
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- cmiallc.com
Where does Albert Chen work?
Albert Chen has been Founder of Course Management Investment Advisors, LLC since October 2019, and is a control person of the firm.
Is Albert Chen a financial advisor?
Yes. Albert Chen has a current investment-adviser registration in Florida, North Carolina, South Carolina and Texas, through Course Management Investment Advisors since February 2020.
How many years of experience does Albert Chen have?
Albert Chen has 14 years in the financial industry, since February 2012, across 4 adviser firms.
What exams has Albert Chen passed?
Albert Chen has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in January 2012. FINRA credited Albert Chen with the SIE, which began in October 2018.
Where did Albert Chen work before Course Management Investment Advisors?
Before Course Management Investment Advisors, Albert Chen was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, November 2012 to April 2015; Mutual of Omaha Investor Services, Inc., July 2012 to October 2012.
Where is Albert Chen based?
Albert Chen’s registered office is in Pinehurst, NC.
Is Albert Chen registered with FINRA?
No. Albert Chen has no current broker registration.
Is Albert Chen a CFP?
Course Management Investment Advisors lists Albert Chen with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Albert Chen’s record?
Search CRD 5996821 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Albert Chen’s full registration record.