Ming Shun H. 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.
Ming Shun Henry Chen, CFA, who also goes by Mingshun Henry Chen, was a registered financial professional .
Ming Shun is a previously registered financial professional and started their career in finance in 1989. Ming Shun had worked at 4 firms and has passed the Series 63, Series 55 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
April 12, 2011 - March 19, 2012
COASTAL TRADE SECURITIES, LLC
March 3, 2003 - June 28, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
December 20, 2001 - March 3, 2003
RUMSON CAPITAL, LLC
October 25, 1989 - June 21, 1993
EMPIRE SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 4/3/2002
Limited Representative-Equity Trader ExamCurrent Firm
COASTAL TRADE SECURITIES, LLC
CRD#: 148246 / SEC#: , 8-67999
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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