Yinyi Chen
Professional summary
Yinyi Chen, who also goes by Tom Chen, Yinyi Tommy Chen, is a registered financial advisor currently at CASTLE GROUP INVESTMENT COUNSEL, INC. located in Arcadia, California and FORTUNE SECURITIES, INC. located in Alhambra, California.
Yinyi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Yinyi has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 3, Series 7, Series 14, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Yinyi Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 17, 2006 - Present
CASTLE GROUP INVESTMENT COUNSEL, INC.
May 2, 1997 - Present
FORTUNE SECURITIES, INC.
Office #1: 388 E. Valley Blvd., Suite 208, Alhambra, CA 91801Office #2: 388 E. Valley Blvd. Suite 208, Alhambra, CA 91801April 2, 1993 - June 26, 2000
U. S. PACIFIC FINANCIAL SERVICES, 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
(3/12/2020)
(5/8/1997)
(3/17/2006)
(9/22/2008)
(1/25/2022)
(6/4/2024)
(12/11/2019)
(11/12/2020)
(7/10/2023)
(9/3/2025)
(9/19/2024)
(9/16/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CASTLE GROUP INVESTMENT COUNSEL, INC.
CRD#: 134992 / SEC#:
Contact information
Red Flags
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