Richard Chi-sheng Chen
Professional Summary
Richard Chi-sheng Chen was a registered financial advisor. Richard was a previously registered financial professional and started their career in finance 2000 - 2017. Richard had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
HOLBROOK CAPITAL LLC | SINGPOLI WEALTH MANAGEMENT LLC
Contact Information
Established
New York since 04/28/2005Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SINGPOLI WEALTH MANAGEMENT CORPORATION | DIRECT OWNER | — |
| SOO, YUNTING MIKE | PRINCIPAL & MANAGING DIRECTOR & CCO | 1823399 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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