Oliver Chen
Professional summary
Oliver Chen is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Oliver is registered as a RR (Registered Representative) and started their career in finance in 2006. Oliver has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Oliver Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017March 6, 2024 - April 11, 2024
TD SECURITIES (USA) LLC
October 27, 2014 - April 11, 2024
COWEN AND COMPANY
March 19, 2007 - October 22, 2014
CITIGROUP GLOBAL MARKETS INC.
August 30, 2006 - March 13, 2007
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/11/2024)
Exams
FINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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