James S. Yen
Professional summary
James Shih Kuang Yen, who also goes by Shihkuang Yen, James Yen, is a registered financial professional currently at FORTUNE SECURITIES, INC. located in Alhambra, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Shih Kuang Yen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 25, 2017 - Present
FORTUNE SECURITIES, INC.
Office #1: 388 E. Valley Blvd., Suite 208, Alhambra, CA 91801Office #2: 388 E. Valley Blvd. Suite 208, Alhambra, CA 91801March 28, 2011 - November 13, 2015
FORTUNE SECURITIES, INC.
March 16, 1998 - May 29, 2009
FORTUNE SECURITIES, INC.
May 10, 1995 - May 28, 1998
U. S. PACIFIC FINANCIAL SERVICES, INC.
February 12, 1993 - October 26, 1993
FM PACIFIC CAPITAL MANAGEMENT, 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
(9/26/2017)
Exams
FINRA
Current Firm
FORTUNE SECURITIES, INC.
CRD#: 40821 / SEC#: , 8-49208
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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