William 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.
William Wei-yuan Chen was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2000. William had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 27 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
September 23, 2014 - August 10, 2015
KEPLER CAPITAL MARKETS, INC.
August 30, 2011 - June 28, 2013
MACQUARIE CAPITAL (USA) INC.
May 15, 2008 - July 14, 2011
JONESTRADING
September 22, 2004 - April 30, 2008
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
July 13, 2000 - September 20, 2004
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 55
Date: 6/18/2001
Limited Representative-Equity Trader ExamCurrent Firm
KEPLER CAPITAL MARKETS, INC.
CRD#: 139148 / SEC#: , 8-67194
Contact information
FINRA licenses (42 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
