Kuni Chen
Professional summary
Kuni Chen, CFA, who also goes by Kuni Michael Chen, Kuni Chen, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in San Francisco, California and H.C.WAINWRIGHT & CO., LLC located in New York, New York.
Kuni is registered as a RR (Registered Representative) and started their career in finance in 1999. Kuni has worked at 35 firms and has passed the Series 63, SIE, Series 16, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kuni Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2020 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 101 California Street Ste 1700, San Francisco, CA 94111October 21, 2020 - Present
H.C.WAINWRIGHT & CO., LLC
Office #1: 430 Park Avenue 4th Floor, New York, NY 10022Office #2: 430 Park Avenue 4th Floor, New York, NY 10022October 15, 2021 - Present
D. BORAL CAPITAL
Office #1: 590 Madison Ave. 39th Floor, New York, NY 10022March 10, 2022 - Present
THE BENCHMARK COMPANY, LLC
Office #1: 150 E 58th Street 17th Floor, New York, NY 10155March 18, 2022 - Present
LOOP CAPITAL MARKETS LLC
Office #1: 88 Pine Street 25th Floor, New York, NY 10005February 22, 2023 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027August 1, 2023 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 11440 W. Bernardo Ct. Suite 300, San Diego, CA 92127January 29, 2024 - Present
PRIME EXECUTIONS, INC.
Office #1: 40 Wall Street - 58th Floor, New York, NY 10005October 25, 2024 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007January 28, 2025 - Present
LUCID CAPITAL MARKETS, LLC
Office #1: One Liberty Plaza 7th Floor, Suite 701, New York, NY 10006April 3, 2025 - Present
HOVDE GROUP, LLC
Office #1: 1629 Colonial Parkway, Inverness, IL 60067September 11, 2025 - Present
TIGRESS FINANCIAL PARTNERS, LLC
Office #1: 410 Park Avenue 12th Floor, New York, NY 10022December 11, 2024 - May 29, 2025
NEEDHAM & COMPANY, LLC
July 18, 2023 - June 3, 2025
MARATHON CAPITAL MARKETS, LLC
June 27, 2022 - February 6, 2023
MKM PARTNERS LLC
March 2, 2022 - January 20, 2025
VIII CAPITAL CORP.
September 21, 2021 - December 10, 2021
LONGBOW SECURITIES, LLC
August 17, 2021 - October 23, 2023
SEEDS
July 20, 2021 - November 16, 2022
FOUR POINTS CAPITAL PARTNERS LLC
February 3, 2021 - January 19, 2022
JOSEPH GUNNAR & CO. LLC
June 12, 2020 - November 12, 2021
THINKEQUITY LLC
June 3, 2020 - July 22, 2021
ARCADIA SECURITIES, LLC
December 17, 2019 - December 7, 2023
SPARTAN CAPITAL SECURITIES, LLC
December 14, 2018 - August 1, 2025
OSCAR GRUSS & SON INCORPORATED
December 15, 2017 - January 6, 2020
MUFG SECURITIES AMERICAS INC.
October 2, 2017 - May 2, 2022
IRC SECURITIES LLC
August 10, 2016 - February 14, 2024
THE VERTICAL GROUP
January 9, 2014 - October 8, 2014
UBS SECURITIES LLC
August 6, 2013 - December 16, 2013
WELLINGTON SHIELDS & CO., LLC
June 20, 2011 - April 12, 2013
CRT CAPITAL GROUP LLC
January 2, 2009 - October 12, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2008 - January 2, 2009
BANC OF AMERICA SECURITIES LLC
May 27, 2008 - July 2, 2008
HAPOALIM SECURITIES USA, INC.
June 25, 2003 - February 25, 2008
BANC OF AMERICA SECURITIES LLC
January 6, 2003 - March 6, 2003
HD BROUS & CO., INC.
October 7, 1999 - December 31, 2002
CITIGROUP GLOBAL MARKETS 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
(6/8/2020)
Exams
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TIGRESS FINANCIAL PARTNERS, LLC
CRD#: 154717 / SEC#: 801-112815, 8-68671
Contact information
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 11,558,041 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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