Anthony W. Chen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Anthony Winchell Chen was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1991. Anthony had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2002 - February 28, 2005
VFINANCE INVESTMENTS, INC
July 4, 2002 - July 31, 2002
HARRISON SECURITIES, INC.
January 10, 2001 - July 9, 2002
GREAT EASTERN SECURITIES, INC.
April 14, 1998 - January 10, 2001
FIRST SECURITY INVESTMENTS, INC.
October 28, 1996 - April 20, 1998
NORTHEAST SECURITIES, LLC
February 8, 1996 - November 5, 1996
ROYAL PALM INVESTMENTS, LTD.
September 4, 1992 - February 21, 1996
MEYERS POLLOCK ROBBINS, INC.
July 30, 1991 - August 13, 1992
INVESTORS ASSOCIATES, INC.
March 19, 1991 - August 2, 1991
PAULSON INVESTMENT COMPANY LLC
January 7, 1991 - April 9, 1991
J. GREGORY & COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
