Dennis L. 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.
Dennis Lin Chen, who also goes by Dennis Chen, Dennis L. Peng, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1996. Dennis had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2019 - May 14, 2020
GPS CAPITAL MANAGEMENT, LLC
November 22, 2005 - December 31, 2018
GPS CAPITAL MANAGEMENT, LLC
December 15, 1997 - October 4, 2005
CHARLES SCHWAB & CO., INC.
April 18, 1997 - October 4, 2005
CHARLES SCHWAB & CO., INC.
July 29, 1996 - July 11, 1997
WMA SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
GPS CAPITAL MANAGEMENT, LLC
CRD#: 136330 / SEC#: 801-64685
Contact information
Red Flags
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