AC
Angel C. Chen
DEUTSCHE BANK SECURITIES
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 3163242
AC
Professional summary
Angel Chien-i Chen, who also goes by Chen-y Chen, Chien-i Chen, Angel Chen, is a registered financial professional currently at DEUTSCHE BANK SECURITIES INC. located in Los Angeles, California.
Angel is registered as a RR (Registered Representative) and started their career in finance in 2000. Angel has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chen-Y Chen | Chien-I Chen | Angel 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.
CRS (Client Relationship Summary) - BD
Click below to view Angel Chien-i 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®
NoneExperience
Current
July 18, 2019 - Present
DEUTSCHE BANK SECURITIES INC.
Office #1: 1999 Avenue Of The Stars Ste. 3750, Los Angeles, CA 90067RIA
BD
CRD#: 2525
Los Angeles, CA
Past
July 18, 2019 - December 18, 2023
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
NEW YORK, NY
Past
September 4, 2012 - June 3, 2019
CITY NATIONAL SECURITIES, INC.
RIA
CRD#: 103705
Pasadena, CA
Past
February 7, 2012 - June 3, 2019
CITY NATIONAL SECURITIES, INC.
BD
CRD#: 103705
Pasadena, CA
Past
April 7, 2010 - January 10, 2012
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
LOS ANGELES, CA
Past
April 7, 2010 - January 10, 2012
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
LOS ANGELES, CA
Past
November 5, 2008 - December 17, 2009
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN JOSE, CA
Past
November 4, 2008 - December 17, 2009
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN JOSE, CA
Past
June 14, 2006 - October 22, 2008
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
GLENDALE, CA
Past
June 14, 2006 - October 22, 2008
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
GLENDALE, CA
Past
February 2, 2004 - September 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
LAGUNA NIGUEL, CA
Past
September 4, 2002 - September 14, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
April 30, 2001 - July 30, 2002
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
May 16, 2000 - March 7, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 7, 2000 - April 25, 2000
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
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".
DEUTSCHE BANK SECURITIES INC.
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
RIA
Registered Investment Advisory firm - SEC (11/12/1973 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(7/18/2019)
RR
Alaska(7/18/2019)
RR
Arizona(7/18/2019)
RR
Arkansas(7/18/2019)
RR
California(7/18/2019)
RR
Colorado(7/18/2019)
RR
Connecticut(7/18/2019)
RR
Delaware(7/18/2019)
RR
District of Columbia(7/18/2019)
RR
Florida(7/18/2019)
RR
Georgia(7/18/2019)
RR
Hawaii(7/18/2019)
RR
Idaho(7/18/2019)
RR
Illinois(7/18/2019)
RR
Indiana(7/18/2019)
RR
Iowa(7/18/2019)
RR
Kansas(7/18/2019)
RR
Kentucky(7/18/2019)
RR
Louisiana(7/18/2019)
RR
Maine(7/18/2019)
RR
Maryland(7/18/2019)
RR
Massachusetts(7/18/2019)
RR
Michigan(7/18/2019)
RR
Minnesota(7/18/2019)
RR
Mississippi(7/18/2019)
RR
Missouri(7/18/2019)
RR
Montana(7/18/2019)
RR
Nebraska(7/18/2019)
RR
Nevada(7/18/2019)
RR
New Hampshire(7/18/2019)
RR
New Jersey(7/18/2019)
RR
New Mexico(7/18/2019)
RR
New York(7/18/2019)
RR
North Carolina(7/18/2019)
RR
North Dakota(7/18/2019)
RR
Ohio(7/19/2019)
RR
Oklahoma(7/18/2019)
RR
Oregon(7/18/2019)
RR
Pennsylvania(7/18/2019)
RR
Puerto Rico(7/18/2019)
RR
Rhode Island(7/18/2019)
RR
South Carolina(7/18/2019)
RR
South Dakota(7/18/2019)
RR
Texas(7/18/2019)
RR
Utah(7/18/2019)
RR
Vermont(7/18/2019)
RR
Virgin Islands(7/18/2019)
RR
Virginia(7/18/2019)
RR
Washington(7/18/2019)
RR
West Virginia(7/18/2019)
RR
Wisconsin(7/18/2019)
RR
Wyoming(7/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
DEUTSCHE BANK SECURITIES INC.
C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL/C. J. LAWRENCE INC. | DEUTSCHE MORGAN GRENFELL INC. | DEUTSCHE BANK SECURITIES INC. | DEUTSCHE BANC ALEX. BROWN INC. | CYRUS J. LAWRENCE INCORPORATED | C.J. LAWRENCE/DEUTSCHE BANK SECURITIES CORPORATION | C.J. LAWRENCE, MORGAN GRENFELL INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
RIA
Registered Investment Advisory firm - SEC (11/12/1973 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Columbus Circle, New York, NY 10019
Mailing Address
1 Columbus Circle, New York, NY 10019
Phone number
(212) 250-2500
Established
Delaware since 12/29/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,788
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
