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SC

Shih-hsuan T. Chen

N.B. ZOULLAS SECURITIES
NEW YORK, NY 10119
Some features on this profile are disabled
CRD#: 4786745
SC

Professional summary

Shih-hsuan Tina Chen is a registered financial professional currently at N.B. ZOULLAS SECURITIES, INC. located in New York, New York.

Shih-hsuan is registered as a RR (Registered Representative) and started their career in finance in 2004. Shih-hsuan has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 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 Shih-hsuan Tina Chen's CRS (Customer Relationship Summary).
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

November 6, 2013 - Present

N.B. ZOULLAS SECURITIES, INC.

Office #1: One Penn Plaza Suite 2005 20th Floor, New York, NY, 10119
BD
CRD#: 29419
NEW YORK, NY
Past

June 24, 2011 - July 6, 2012

N.B. ZOULLAS SECURITIES, INC.

BD
CRD#: 29419
NEW YORK, NY
Past

August 3, 2004 - June 7, 2011

LEK SECURITIES CORPORATION

BD
CRD#: 33135
NEW CITY, NY

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
New York
(11/6/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 1/26/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/14/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/14/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NZ
N.B. ZOULLAS SECURITIES, INC.
N. B. ZOULLAS SECURITIES, INC. | N.B. ZOULLAS SECURITIES, INC.

CRD#: 29419 / SEC#: , 8-44285

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Penn Plaza Suite 2005 20th Floor, New York, NY, 10119
Mailing Address
One Penn Plaza Suite 2005 20th Floor, New York, NY, 10119
Phone number
(212) 350-5315
Established
Delaware since 10/22/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FERNANDEZ, DIANE TRINIDADCO-PRESIDENT,CHIEF FINANCIAL OFFICER2200893
SEINFELD, LESLIE SUECO-PRESIDENT, GENERAL SECURITIES PRINCIPAL, CCO1685941

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

N.B. ZOULLAS SECURITIES, INC.

CRD#: 29419New York, NY 10119

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