Daniel K. 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.
Daniel Kosho Chen, who also goes by Dan Chen, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1999. Daniel had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 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
May 7, 2012 - September 1, 2022
CHINA ECAPITAL PARTNERS, LLC
September 8, 2005 - July 14, 2009
MONTGOMERY & CO., LLC
September 10, 1999 - December 14, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
CHINA ECAPITAL PARTNERS, LLC
CRD#: 150251 / SEC#: , 8-68238
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
