Lingling 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.
Lingling Chen, who also goes by Charmaine Chen, Ling Chen, was a registered financial professional .
Lingling is a previously registered financial professional and started their career in finance in 2001. Lingling had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 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
January 12, 2009 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
May 2, 2007 - December 31, 2008
HBW SECURITIES LLC
October 26, 2006 - February 9, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
October 26, 2006 - February 9, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
April 11, 2006 - August 22, 2006
OSAIC WEALTH, INC.
April 15, 2005 - August 22, 2006
OSAIC WEALTH, INC.
April 23, 2001 - May 12, 2005
CITIGROUP GLOBAL MARKETS INC.
March 26, 2001 - May 12, 2005
CITIGROUP GLOBAL MARKETS 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
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
