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HC

Hsueh-liang "leon" Chen

CARY STREET PARTNERS
Richmond, VA 23219
Some features on this profile are disabled
CRD#: 2416132
HC

Professional summary

Hsueh-liang "leon" Chen, who also goes by Hsuehliang Chen, Leon Chen, Yueliang Chen, is a registered financial professional currently at CARY STREET PARTNERS located in Richmond, Virginia.

Hsueh-liang "leon" is registered as a RR (Registered Representative) and started their career in finance in 2012. Hsueh-liang "leon" has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hsuehliang Chen | Leon Chen | Yueliang Chen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Hsueh-liang "leon" Chen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 22, 2016 - Present

CARY STREET PARTNERS

Office #1: 901 East Byrd Street Suite 1001, Richmond, VA 23219
BD
CRD#: 128089
Richmond, VA
Past

October 2, 2012 - June 6, 2014

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 9/28/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CARY STREET PARTNERS
CARY STREET PARTNERS | RIVERSTONE WEALTH MANAGEMENT | CARY STREET PARTNERS LLC

CRD#: 128089 / SEC#: , 8-66085

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Phone number
(804) 340-8100
Established
Virginia since 03/26/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARY STREET PARTNERS FINANCIAL LLCSOLE MEMBER OF BROKER-DEALER
BAYNE, WALTER DONALDPRESIDENT OF BROKER-DEALER AND MANAGING DIRECTOR OF CSPF4427332
GALLUP, WESLEY HAMILTONCHIEF OPERATING OFFICER OF CSPF5037007
HAYES, JAIMAL CHARANCHIEF COMPLIANCE OFFICER OF BROKER-DEALER4259937
MITCHELL, KEVIN LEEHEAD OF ACCOUNTING - CONTROLLER AND FINANCIAL OPERATIONS PRINCIPAL OF BROKER-DEALER3085157
RUBIN, MATTHEW LAWRENCECHIEF INVESTMENT OFFICER OF CSPF3057508
SCHMUCKLER, JOSEPH REDMONDCHIEF EXECUTIVE OFFICER OF CSPF1156472
TULLIDGE, THOMAS HOGSHEAD JRSECRETARY/TREASURER OF BROKER-DEALER AND CHIEF STRATEGY OFFICER, LEGAL AND FINANCE OF CSPF2858022

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.

Company Information

CARY STREET PARTNERS

CRD#: 128089Richmond, VA 23219

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