KC
Kevin Chen
PHX FINANCIAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 4871316
KC
Professional summary
Kevin Chen is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2011. Kevin has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Kevin 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®
NoneExperience
Current
September 5, 2011 - Present
PHX FINANCIAL, INC.
Office #1: 100 Wall Street 10th Floor, New York, NY 10005BD
CRD#: 144403
New York, 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
Alabama(3/25/2013)
RR
Alaska(4/30/2020)
RR
Arizona(9/12/2011)
RR
Arkansas(4/30/2020)
RR
California(9/12/2011)
RR
Colorado(4/30/2020)
RR
Connecticut(4/30/2020)
RR
Delaware(4/30/2020)
RR
District of Columbia(7/8/2020)
RR
Florida(9/5/2011)
RR
Georgia(3/18/2016)
RR
Hawaii(7/8/2020)
RR
Idaho(7/8/2020)
RR
Illinois(9/12/2011)
RR
Indiana(7/8/2020)
RR
Iowa(4/30/2020)
RR
Kansas(7/8/2020)
RR
Kentucky(7/8/2020)
RR
Louisiana(9/6/2011)
RR
Maine(11/4/2011)
RR
Maryland(7/8/2020)
RR
Massachusetts(9/12/2011)
RR
Michigan(4/30/2020)
RR
Minnesota(9/12/2011)
RR
Mississippi(4/30/2020)
RR
Missouri(4/30/2020)
RR
Nebraska(4/30/2020)
RR
Nevada(9/30/2011)
RR
New Hampshire(7/8/2020)
RR
New Jersey(9/5/2011)
RR
New Mexico(11/8/2012)
RR
New York(9/12/2011)
RR
North Carolina(4/30/2020)
RR
North Dakota(6/27/2014)
RR
Ohio(9/6/2011)
RR
Oklahoma(4/30/2020)
RR
Oregon(7/8/2020)
RR
Pennsylvania(4/30/2020)
RR
Rhode Island(7/8/2020)
RR
South Carolina(2/6/2012)
RR
South Dakota(1/16/2013)
RR
Tennessee(7/14/2020)
RR
Texas(9/12/2011)
RR
Utah(5/28/2013)
RR
Vermont(7/8/2020)
RR
Virgin Islands(7/8/2020)
RR
Virginia(7/8/2020)
RR
Washington(9/12/2011)
RR
West Virginia(7/8/2020)
RR
Wisconsin(4/30/2020)
RR
Wyoming(4/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.
CRD#: 144403 / SEC#: , 8-67653
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
