HC
Hung H. Chen
R. F. LAFFERTY & CO.
New York, NY 10005
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CRD#: 1259993
HC
Professional summary
Hung Hung Chen, who also goes by David Hung Chen, David Chen, Hung David Chen, is a registered financial professional currently at R. F. LAFFERTY & CO., INC. located in New York, New York.
Hung is registered as a RR (Registered Representative) and started their career in finance in 1986. Hung has worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Hung Chen | David Chen | Hung David Chen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Hung Hung Chen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 2, 2023 - Present
R. F. LAFFERTY & CO., INC.
Office #1: 40 Wall St, New York, NY 10005RIA
BD
CRD#: 2498
New York, NY
Past
October 2, 2013 - May 5, 2023
CATHAY SECURITIES, INC.
BD
CRD#: 21821
NEW YORK, NY
Past
June 2, 2010 - October 26, 2011
CATHAY SECURITIES, INC.
BD
CRD#: 21821
NEW YORK, NY
Past
March 31, 2008 - July 10, 2008
GRACE FINANCIAL GROUP LLC
BD
CRD#: 104133
WILLISTON PARK, NY
Past
February 6, 2004 - January 18, 2006
CATHAY SECURITIES, INC.
BD
CRD#: 21821
NEW YORK, NY
Past
November 12, 1999 - February 6, 2002
SCHONFELD SECURITIES, LLC
BD
CRD#: 23304
JERICHO, NY
Past
July 23, 1998 - November 8, 1999
ELECTRONIC TRADING GROUP, LLC
BD
CRD#: 37453
NEW YORK, NY
Past
October 2, 1997 - July 16, 1998
ON-SITE TRADING, INC.
BD
CRD#: 30271
GREAT NECK, NY
Past
April 4, 1996 - May 15, 1997
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 25, 1995 - March 29, 1996
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
BEDMINSTER, NJ
Past
June 20, 1994 - September 26, 1995
SOGOTRADE, INC.
BD
CRD#: 17912
CHESTERFIELD, MO
Past
July 21, 1993 - May 31, 1994
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
October 15, 1992 - March 2, 1993
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 1, 1992 - September 30, 1992
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
February 4, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
BD
CRD#: 14675
Past
January 26, 1990 - January 15, 1991
CATHAY SECURITIES, INC.
BD
CRD#: 21821
NEW YORK, NY
Past
December 23, 1986 - February 2, 1988
CHURCHILL SECURITIES, INC.
BD
CRD#: 10343
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/5/2024)
RR
Connecticut(11/27/2024)
RR
Delaware(3/4/2025)
RR
Florida(6/5/2024)
RR
Massachusetts(6/5/2024)
RR
Nevada(6/5/2024)
RR
New Jersey(6/5/2024)
RR
New York(11/2/2023)
RR
Ohio(6/5/2024)
RR
Pennsylvania(6/5/2024)
RR
Puerto Rico(12/19/2024)
RR
Texas(3/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 1/17/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
R. F. LAFFERTY & CO., INC.
CLEARTHINK SECURITIES | VENTURE CAPITAL CROSS | TOGETHER FORWARD CAPITAL | SCARSDALE GROUP | R. F. LAFFERTY & CO., INC. | MORADA CAPITAL SECURITIES LLC | KERN SUSLOW | FULCRUM GROUP | DPR WEALTH MANAGEMENT
CRD#: 2498 / SEC#: 801-107428, 8-25581
RIA
Registered Investment Advisory firm - SEC (4/1/2016 Approved)Arizona
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (4/8/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (4/7/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/21/2016 Terminated)New York
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (4/4/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 Wall Street 36th Floor Suite 3602, New York, NY 10005
Mailing Address
40 Wall Street Suite 3602, New York, NY 10005
Phone number
(212) 293-9090
Established
New York since 05/21/1976
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
80
SEC notice filing (17 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 175 |
| AUM (Assets Under Management) | $ 153,036,482 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
