Ai-mei Chen
Professional summary
Ai-mei Chen, who also goes by Amy Chen, Aimei Chen-hirano, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Monterey Park, California.
Ai-mei is registered as a RR (Registered Representative) and started their career in finance in 1999. Ai-mei has worked at 5 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ai-mei Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 638 S Atlantic Blvd, Monterey Park, CA 91754October 21, 2019 - July 6, 2020
CETERA INVESTMENT SERVICES LLC
June 27, 2013 - October 4, 2017
CETERA INVESTMENT SERVICES LLC
June 2, 2010 - September 11, 2012
HSBC SECURITIES (USA) INC.
May 29, 2007 - November 16, 2009
CITIGROUP GLOBAL MARKETS INC.
April 19, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 17, 2001 - October 23, 2001
CITICORP INVESTMENT SERVICES
February 1, 2000 - May 10, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 10, 1999 - February 22, 2000
CITICORP INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/26/2022)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
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.
