Richard C. 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.
Richard Chi-sheng Chen was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2017 - November 22, 2017
SINGPOLI WEALTH MANAGEMENT LLC
December 16, 2004 - November 30, 2015
GRIFFINEST ASIA SECURITIES, LLC
November 1, 2004 - November 23, 2014
GRIFFINEST ASIA ASSET MANAGEMENT, LLC
June 23, 2000 - February 13, 2004
CORE PACIFIC SECURITIES USA 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
Exams
Current Firm
SINGPOLI WEALTH MANAGEMENT LLC
CRD#: 137889 / SEC#: , 8-67126
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
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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