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Song Chen

BESTEX RESEARCH SECURITIES
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 5175892
SC

Professional summary

Song Chen, who also goes by Annie Song Chen, is a registered financial professional currently at BESTEX RESEARCH SECURITIES, LLC located in Stamford, Connecticut.

Song is registered as a RR (Registered Representative) and started their career in finance in 2007. Song has worked at 3 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Annie Song Chen

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 Song 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

September 17, 2024 - Present

BESTEX RESEARCH SECURITIES, LLC

Office #1: 2 Landmark Square, Suite 214, Stamford, CT 06901
BD
CRD#: 309569
Stamford, CT
Past

January 2, 2018 - September 18, 2024

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

August 30, 2007 - June 5, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
California
(9/17/2024)
RR
Connecticut
(9/17/2024)
RR
Florida
(9/17/2024)
RR
Illinois
(9/17/2024)
RR
Massachusetts
(9/17/2024)
RR
New York
(9/17/2024)
RR
Ohio
(9/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/21/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/28/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

BR
BESTEX RESEARCH SECURITIES, LLC
BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569 / SEC#: , 8-70584

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

Main Address
2 Landmark Square Suite 214, Stamford, CT 06901
Mailing Address
2 Landmark Square Suite 214, Stamford, CT 06901
Phone number
(203) 989-9218
Established
Delaware since 04/23/2020
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BESTEX RESEARCH GROUP, LLCDIRECT OWNER
DERIAN, BEATRICECHIEF FINANCIAL OFFICER/FINOP6368396
MEROLLA, PAUL ANTHONY SR.CHIEF COMPLIANCE OFFICER1099818
MITTAL, HITESHCHIEF EXECUTIVE OFFICER4540871
SARAIYA, NIGAM HARISHCHIEF PRODUCT OFFICER5498898

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

BESTEX RESEARCH SECURITIES, LLC

CRD#: 309569Stamford, CT 06901

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