Charngyi 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.
Charngyi Chen was a registered financial professional .
Charngyi is a previously registered financial professional and started their career in finance in 1992. Charngyi had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 3, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2005 - February 9, 2012
GLOBAL-AMERICAN INVESTMENTS, INC.
January 14, 1999 - June 19, 2001
MILESTONE FINANCIAL SERVICES, INC.
July 14, 1993 - October 21, 2005
FASCO INTERNATIONAL, INC.
May 1, 1992 - August 25, 1993
FIRST ASSOCIATED SECURITIES GROUP, 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
Series 55
Date: 1/17/2006
Limited Representative-Equity Trader ExamCurrent Firm
GLOBAL-AMERICAN INVESTMENTS, INC.
CRD#: 41802 / SEC#: , 8-49582
Contact information
Documents
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.
