Kevin L. 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.
Kevin Leon Chen was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2001. Kevin had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2015 - December 31, 2018
LION STREET FINANCIAL, LLC
April 13, 2009 - August 12, 2015
KESTRA INVESTMENT SERVICES, LLC
February 12, 2008 - March 24, 2009
USF SECURITIES, L.P.
December 18, 2006 - February 21, 2008
CETERA ADVISORS LLC
January 1, 2004 - November 1, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 9, 2001 - January 1, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 16, 2001 - February 9, 2001
WOODBURY FINANCIAL SERVICES, 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
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
