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EC

Ellen E. Chen

CURVATURE SECURITIES LLC
Chatham, NJ 07928
Some features on this profile are disabled
CRD#: 2988095
EC

Professional summary

Ellen Elizabeth Chen, who also goes by Ellen Elizabeth Chen, Ellen Liao Chen, Ellen Elizabeth Liao, is a registered financial professional currently at CURVATURE SECURITIES LLC located in Chatham, New Jersey.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 1998. Ellen has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ellen Elizabeth Chen | Ellen Liao Chen | Ellen Elizabeth Liao

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 Ellen Elizabeth Chen's 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

July 23, 2024 - Present

CURVATURE SECURITIES LLC

Office #1: 39 Main Street, Chatham, NJ 07928
BD
CRD#: 169708
Chatham, NJ
Past

October 3, 2022 - February 8, 2024

CLEAR STREET LLC

BD
CRD#: 288933
NEW YORK, NY
Past

October 22, 2020 - October 20, 2022

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

August 17, 2016 - October 20, 2022

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
DALLAS, TX
Past

November 4, 2011 - May 8, 2015

LAVAFLOW, INC.

BD
CRD#: 120444
NEW YORK, NY
Past

October 6, 2011 - May 7, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 14, 2008 - August 30, 2011

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
LOS ANGELES, CA
Past

July 24, 2007 - February 4, 2008

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY
Past

February 1, 2006 - February 4, 2008

NASDAQ EXECUTION SERVICES, LLC

BD
CRD#: 7270
NEW YORK, NY
Past

February 18, 2003 - February 1, 2006

INET ATS, INC.

BD
CRD#: 20746
JERSEY CITY, NJ
Past

August 1, 2000 - June 9, 2004

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

November 17, 1999 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

December 7, 1998 - August 25, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(7/23/2024)
RR
California
(7/23/2024)
RR
Delaware
(7/23/2024)
RR
Florida
(7/23/2024)
RR
Illinois
(7/23/2024)
RR
Kansas
(7/23/2024)
RR
Massachusetts
(7/23/2024)
RR
Missouri
(7/23/2024)
RR
Nevada
(7/23/2024)
RR
New Jersey
(7/23/2024)
RR
New York
(7/23/2024)
RR
Oregon
(7/23/2024)
RR
Texas
(7/23/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 12/22/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/23/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/3/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/30/2008
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CURVATURE SECURITIES LLC
CURVATURE SECURITIES LLC

CRD#: 169708 / SEC#: , 8-69384

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

Main Address
39 Main Street, Chatham, NJ 07928
Mailing Address
39 Main Street, Chatham, NJ 07928
Phone number
(908) 304-9200
Established
Delaware since 09/14/2013
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

Direct owners and executive officers

NamePositionCRD#
CURVATURE HOLDINGS LLCSOLE MEMBER
BODNER, CHAIM MPRESIDENT6892303
KAPLAN, HAROLD MFINOP1719693
PIGOTT, TODD MATTHEWCCO/AMLCO2592495
PIGOTT, WILLIAM TERRENCECEO/MANAGER/EXECUTIVE REPRESENTATIVE1546626

Disclosures

Regulatory Event1

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

CURVATURE SECURITIES LLC

CRD#: 169708Chatham, NJ 07928

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