Peter Chen has been Managing Member of WESPAC Advisors SoCal since June 2011, is a control person of the firm and directly owns between 50% and 75% of it.
Wespac Advisors Socal, LLC is a Pasadena, CA firm with $610M under management, 411 clients and 8 advisers across 2 offices, as of its June 2026 filing.
Peter Chen’s longest registration is the current one, 15 years at WESPAC Advisors SoCal since 2011. Before joining WESPAC Advisors SoCal in 2011, Peter Chen was registered through Wespac Advisors, LLC and Southwest Securities, Inc.
- Stonemark Wealth ManagementCurrent– present · 15 yearsPasadena, CA · Adviser representative · Firm CRD 158413
- Wespac Advisors, LLC– · 2 yearsPasadena, CA · Adviser representative · Firm CRD 148242
- Southwest Securities, Inc.– · under a yearBeverly Hills, CA · Adviser representative · Firm CRD 6220
- Tower Asset Management LLC– · 4 yearsBeverly Hills, CA · Adviser representative · Firm CRD 107919
- M. L. Stern & Co, LLC.– · 4 yearsBeverly Hills, CA · Adviser representative · Firm CRD 8327
Investment adviser representative registrations
Peter Chen is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2011; the most recent is Texas, in May 2020.
- CaliforniaSince 21 September 2011
- TexasResidentSince 14 May 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 March 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 September 1997 |
| Series 7 | General Securities Representative Examination | 10 September 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Peter Pin Chen
- CRD
- 2880266
- Firm
- WESPAC Advisors SoCal · CRD 158413
- Role
- Managing Member
- Office
- 225 S. LAKE AVENUE, SUITE 1170, Pasadena, CA 91101
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Peter Chen work?
Peter Chen has been Managing Member of Wespac Advisors Socal, LLC since June 2011, and is a control person of the firm.
Is Peter Chen a financial advisor?
Yes. Peter Chen has a current investment-adviser registration in California and Texas, through WESPAC Advisors SoCal since September 2011.
How many years of experience does Peter Chen have?
Peter Chen has 27 years in the financial industry, since March 1999, across 5 adviser firms.
What exams has Peter Chen passed?
Peter Chen has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in September 1997. FINRA credited Peter Chen with the SIE, which began in October 2018.
Where did Peter Chen work before WESPAC Advisors SoCal?
Before WESPAC Advisors SoCal, Peter Chen was registered through Southwest Securities, Inc., December 2008 to July 2009; Tower Asset Management LLC, July 2004 to July 2009; M. L. Stern & Co, LLC., July 2004 to April 2009.
Where is Peter Chen based?
Peter Chen’s registered office is in Pasadena, CA.
Is Peter Chen registered with FINRA?
Yes. Peter Chen has a current broker registration, under CRD 2880266.
Source: FINRA BrokerCheck
How can I verify Peter Chen’s record?
Search CRD 2880266 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Peter Chen’s full registration record.