Jim W. 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.
Jim Wan Chen, who also goes by Jim Wan XIong Chen, Wan Xiong Chen, was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 2000. Jim had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2015 - November 13, 2015
INVESTORS CAPITAL CORP.
March 24, 2015 - November 13, 2015
INVESTORS CAPITAL CORP.
October 23, 2012 - March 27, 2013
SANTANDER SECURITIES LLC
September 19, 2012 - March 27, 2013
SANTANDER SECURITIES LLC
January 12, 2006 - September 19, 2012
LPL FINANCIAL LLC
January 6, 2006 - September 19, 2012
LPL FINANCIAL LLC
May 21, 2002 - January 13, 2006
CITIZENS SECURITIES, INC.
January 3, 2001 - May 17, 2002
A. G. EDWARDS & SONS, INC.
January 31, 2000 - December 12, 2000
UBS FINANCIAL SERVICES 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
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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