Timothy 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.
Timothy Chen was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1999. Timothy had worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 86, Series 87, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2018 - November 30, 2021
NATALLIANCE ASSET MANAGEMENT LLC
February 26, 2018 - June 21, 2018
NATALLIANCE SECURITIES, LLC
July 1, 2015 - November 30, 2021
NATALLIANCE SECURITIES, LLC
December 13, 2012 - June 23, 2015
RHINO TRADING PARTNERS, LLC
July 19, 2011 - August 7, 2012
MAXIM GROUP LLC
January 15, 2010 - June 27, 2011
PUMA CAPITAL, LLC
May 7, 1999 - March 9, 2001
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/23/2011
Limited Representative-Equity Trader ExamCurrent Firm
NATALLIANCE ASSET MANAGEMENT LLC
CRD#: 296788 / SEC#:
Contact information
Red Flags
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