Glenn 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.
Glenn Chen, who also goes by Glenn Supmoy Chen, Glenn Chen, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1999. Glenn had worked at 11 firms and has passed the Series 66, Series 63, SIE 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
April 4, 2018 - February 1, 2023
STONEPINE ADVISORS, LLC
February 2, 2017 - March 2, 2018
RAINMAKER SECURITIES, LLC
June 27, 2014 - March 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2014 - March 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2009 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
August 29, 2008 - May 19, 2009
WAVEEDGE PARTNERS LLC
March 6, 2007 - January 31, 2008
MERRIMAN CAPITAL, INC.
April 30, 2004 - February 28, 2007
EAST PEAK ADVISORS, LLC
November 10, 2003 - March 31, 2004
MCC SECURITIES, INC.
March 13, 2003 - June 24, 2003
A.B. WATLEY, INC.
August 22, 2000 - July 29, 2002
UBS SECURITIES LLC
February 25, 1999 - March 24, 2000
ROBERTSON STEPHENS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STONEPINE ADVISORS, LLC
CRD#: 154217 / SEC#: , 8-68618
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REILLY, JAMES FRANCIS | CCO, EXEC. REP., AML SUPER. | |
| CAMPBELL, ROBERT | FINOP | 1349154 |
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.
