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MC

Man Chen

FORTUNE SECURITIES
City Of Industry, CA 91748
Some features on this profile are disabled
CRD#: 3058420
MC

Professional summary

Man Chen, who also goes by Morris Man Chen, Morris Chen, is a registered financial professional currently at FORTUNE SECURITIES, INC. located in City Of Industry, California.

Man is registered as a RR (Registered Representative) and started their career in finance in 1999. Man has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Morris Man Chen | Morris 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Man 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

November 3, 2008 - Present

FORTUNE SECURITIES, INC.

Office #1: 18631 E. Gale Ave,, City Of Industry, CA 91748
BD
CRD#: 40821
City Of Industry, CA
Past

January 9, 2007 - October 29, 2008

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CITY OF INDUSTRY, CA
Past

February 12, 1999 - January 12, 2007

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
CHINO HILLS, CA

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
California
(11/3/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 7/28/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/11/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORTUNE SECURITIES, INC.
FORTUNE SECURITIES, INC.

CRD#: 40821 / SEC#: , 8-49208

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

Main Address
388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
Mailing Address
388 E. Valley Blvd. Suite 208, Alhambra, CA 91801
Phone number
(626) 281-6001
Established
California since 11/20/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHEN, YINYICEO, DIRECTOR ,SECRETARY, MUNI BOND PRINCIPAL & CFO2086259
CHEN, YINYICCO2086259
CHEN, JEN WEISHAREHOLDER2734506
LIN, SUNINSHAREHOLDER2556300
WU, FENG-SHENGSHAREHOLDER5672647

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

FORTUNE SECURITIES, INC.

CRD#: 40821City Of Industry, CA 91748

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