Jesse X. 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.
Jesse Xi Chen, who also goes by Warren XI Chen, Xi Chen, Chen Xi, Jesse Xi Chen, was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 2000. Jesse had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, 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
September 15, 2020 - December 21, 2020
NYLIFE SECURITIES LLC
August 28, 2019 - November 25, 2019
KCD FINANCIAL, INC.
August 28, 2019 - November 25, 2019
KCD FINANCIAL, INC.
July 6, 2016 - October 4, 2016
UBS FINANCIAL SERVICES INC.
July 6, 2016 - October 4, 2016
UBS FINANCIAL SERVICES INC.
July 11, 2008 - December 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 2008 - December 10, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - July 17, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 17, 2008
MORGAN STANLEY & CO. LLC
October 25, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
September 10, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
February 15, 2001 - March 23, 2001
CITIGROUP GLOBAL MARKETS INC.
August 18, 2000 - December 4, 2000
WHITE PACIFIC SECURITIES, 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
Series 7TO
Date: 8/27/2019
General Securities Representative ExaminationCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
