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Tony L. Chen

MCMORGAN & COMPANY CAPITAL ADVISORS LLC
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 4769267
TC

Professional summary

Tony Li-wei Chen is a registered financial professional currently at MCMORGAN & COMPANY CAPITAL ADVISORS LLC located in San Francisco, California.

Tony is registered as a RR (Registered Representative) and started their career in finance in 2004. Tony has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tony Li-wei Chen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 4, 2012 - Present

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

Office #1: 33 New Montgomery Street Suite 2000, San Francisco, CA 94105
BD
CRD#: 137222
San Francisco, CA
Past

May 12, 2004 - October 2, 2012

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/12/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 6/21/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/10/2004
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

M&
MCMORGAN & COMPANY CAPITAL ADVISORS LLC
MCMORGAN & COMPANY CAPITAL ADVISORS LLC | RADIANT SECURITIES LLC

CRD#: 137222 / SEC#: , 8-67074

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
33 New Montgomery Street Suite 2000, San Francisco, CA 94105
Mailing Address
33 New Montgomery Street Suite 2000, San Francisco, CA 94105
Phone number
(415) 788-9300
Established
New York since 04/11/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCMORGAN & COMPANY LLCMEMBER
DANIELS, RICHARD MATTHEWFINOP, CFO,PFO & POO5877964
JOSEF, ANDREW SCHIEF COMPLIANCE OFFICER4789945
SANTAGUIDA, JOHN F. SCOTTPRESIDENT5004531

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.

Company Information

MCMORGAN & COMPANY CAPITAL ADVISORS LLC

CRD#: 137222San Francisco, CA 94105

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