Yingwei 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.
Yingwei Chen was a registered financial professional .
Yingwei is a previously registered financial professional and started their career in finance in 2005. Yingwei had worked at 9 firms and has passed the Series 63, SIE 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
September 1, 2018 - May 21, 2021
BMO CAPITAL MARKETS CORP.
September 13, 2016 - September 1, 2018
KGS-ALPHA CAPITAL MARKETS, L.P.
October 27, 2014 - September 14, 2016
D.A. DAVIDSON & CO.
November 9, 2012 - October 10, 2014
SANTANDER US CAPITAL MARKETS LLC
November 5, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
May 25, 2012 - November 9, 2012
BREAN CAPITAL, LLC
December 5, 2011 - June 13, 2012
GLEACHER & COMPANY SECURITIES, INC.
March 9, 2009 - November 7, 2011
BEDROK SECURITIES LLC
July 29, 2005 - March 11, 2009
BANC OF AMERICA SECURITIES 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
BMO CAPITAL MARKETS CORP.
CRD#: 16686 / SEC#: 801-73047, 8-34344
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | SHAREHOLDER | |
| BRICKLEY, THOMAS JOHN | FINANCIAL AND OPERATIONS PRINCIPAL | 3028843 |
| ESTEY, WARREN FRANCIS | MANAGING DIRECTOR, INVESTMENT BANKING | 3114183 |
| FORLENZA, MICHAEL | HEAD, CHIEF OPERATING OFFICER | 5886049 |
| KAHRAMAN, LEVENT | MANAGING DIRECTOR, GLOBAL MARKETS | 2802822 |
| WOODWARD, JOEL EDWARD | CHIEF FINANCIAL OFFICER | 5467904 |
| YUKILEVICH, DANIEL | CHIEF COMPLIANCE OFFICER | 5635481 |
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 1,210,751,477 |
Disclosures
| Regulatory Event | 46 |
| Civil Event | 1 |
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.
