A settlement from October 2026 is the newest entry on Fred Chen's BrokerCheck report, and a separate customer claim remains pending. Chen (CRD 5766069) is the broker on every disclosure, and each one names Emerson Equity as the firm. The pending claim is an unproven allegation, and no arbitrator has ruled on it.
Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Fred Chen (also known as Fredrick Chen) [CRD: 5766069, Irvine, California]. Fred Chen worked for LPL Financial LLC from August 17, 2017, to May 15, 2018, Arque Capital, Ltd. from May 8, 2018, to February 24, 2020, and has been employed with Emerson Equity […]
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