Crystal Y. 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.
Crystal Ying Chen, who also goes by Crystal Chen, Ying Chen, was a registered financial professional .
Crystal is a previously registered financial professional and started their career in finance in 2006. Crystal had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 87 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
May 7, 2018 - April 17, 2019
M&A SECURITIES GROUP, INC.
October 27, 2015 - July 8, 2016
CITIGROUP GLOBAL MARKETS INC.
October 27, 2015 - July 8, 2016
CITIGROUP GLOBAL MARKETS INC.
December 13, 2013 - September 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 25, 2013 - September 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
February 16, 2012 - March 8, 2013
PACIFIC CREST SECURITIES LLC
April 4, 2011 - July 19, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
November 17, 2006 - March 4, 2011
JEFFERIES LLC
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
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
