Kai Chen

OCEANIQ CAPITAL

Redwood City, CA 94065

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CRD#: 2916984

Professional summary

Kai Chen, who also goes by Kai Nmn Chen, Kai Chen, Szu-kai Chen, Szukai Chen, is a registered financial advisor currently at OCEANIQ CAPITAL, LLC located in Redwood City, California and FNEX CAPITAL, LLC located in Indianapolis, Indiana.

Kai is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kai has worked at 5 firms and has passed the Series 63, Series 66, Series 82TO, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kai Nmn Chen | Kai Chen | Szu-Kai Chen | Szukai 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.

NAME OF OTHER BUSINESS: OCEANIQ CAPITAL, LLC INVESTMENT-RELATED (Y/N): Y ADDRESS: 100 PINE STREET, SUITE 2700, SAN FRANCISCO, CA 94111 NATURE: SEC REGISTERED INVESTMENT ADVISOR - PROVIDE INVESTMENT ADVISORY SERVICES POSTION, TITLE OR RELATIONSHIP: PRINCIPAL - MANAGING MEMBER START DATE: 10/01/2013 # OF HRS/MTH: 60 # OF HRS/MTH DURING TRADING HRS: 40 DUTIES: INVESTMENT ADVICE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kai 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

December 8, 2020 - Present

OCEANIQ CAPITAL, LLC

Office #1: 275 Shoreline Drive Unit 120, Redwood City, CA 94065

RIA

CRD#: 168062

Redwood City, CA

Current

June 23, 2025 - Present

FNEX CAPITAL, LLC

Office #1: One Indiana Square Suite 2252, Indianapolis, IN 46204

CRD#: 166316

Indianapolis, IN

Past

October 30, 2013 - July 2, 2015

S F SENTRY SECURITIES, INC.

CRD#: 27432

SAN FRANCISCO, CA

Past

October 3, 2013 - December 31, 2018

OCEANIQ CAPITAL, LLC

RIA

CRD#: 168062

REDWOOD SHORES, CA

Past

January 17, 2003 - November 26, 2013

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

SAN FRANCISCO, CA

Past

January 17, 2003 - November 26, 2013

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

SAN FRANCISCO, CA

Past

August 20, 2002 - January 17, 2003

PERSHING LLC

RIA

CRD#: 7560

SAN FRANCISCO, CA

Past

February 12, 2001 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OCEANIQ CAPITAL, LLC

OCEANIQ CAPITAL, LLC | TACTICAL ADVISOR 6, LLC

CRD#: 168062 / SEC#: 801-113911

RIA

Registered Investment Advisory firm - (8/29/2018 Approved)

California

Registered Investment Advisory firm - (1/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2018 Failure to Renew)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(12/8/2020)

California
(6/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/14/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 11/3/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 82TO

Date: 6/20/2025

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 4/14/2025

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/15/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/8/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

OCEANIQ CAPITAL, LLC

OCEANIQ CAPITAL, LLC | TACTICAL ADVISOR 6, LLC

CRD#: 168062 / SEC#: 801-113911

RIA

Registered Investment Advisory firm - (8/29/2018 Approved)

California

Registered Investment Advisory firm - (1/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/31/2018 Failure to Renew)

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Contact information

Main Address

275 Shoreline Drive Unit 120, Redwood City, CA 94065

Mailing Address

Phone number

(415) 432-7580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DISCLOSURE BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	274
AUM (Assets Under Management)	$ 212,427,410

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.

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Advisor Monitoring

Firm Stability Insights

Kai Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kai Chen's CRS (Customer Relationship Summary).

Certified licenses

Experience

FNEX CAPITAL, LLC

S F SENTRY SECURITIES, INC.

OCEANIQ CAPITAL, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

Primary Firm SEC Registration

OCEANIQ CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/14/2025

Series 66

Date: 11/3/2001

Series 82TO

Date: 6/20/2025

SIE

Date: 4/14/2025

Series 79

Date: 5/15/2014

Series 7

Date: 2/8/2001

FINRA

Current Firm

OCEANIQ CAPITAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OCEANIQ CAPITAL, LLC

TRUST BUT VERIFY

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