Ricky 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.
Ricky Chen was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 2000. Ricky had worked at 2 firms and has passed the Series 63 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
October 19, 2011 - November 18, 2013
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
September 7, 2000 - December 14, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
TOYOTA FINANCIAL SERVICES SECURITIES USA CORPORATION
CRD#: 135978 / SEC#: , 8-66961
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOYOTA FINANCIAL SERVICES INTERNATIONAL CORPORATION | OWNER | |
| BETHEL, TELLIS | BOARD OF DIRECTORS | 8218811 |
| BISHOP, STEPHEN JOHN | BOARD OF DIRECTORS | 7481282 |
| COOKE, SCOTT DOUGLAS | CHAIRMAN OF THE BOARD | 7267016 |
| EVANCHO, ANDREA VADAS | CHIEF COMPLIANCE OFFICER | 2393530 |
| RO, NICHOLAS JOSEPH | PRESIDENT & TREASURER | 2285161 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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