Kai Chen
Professional summary
Kai Chen is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York and CF SECURED, LLC located in New York, New York.
Kai is registered as a RR (Registered Representative) and started their career in finance in 2011. Kai has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kai Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2025 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4th Floor - Prime Services, New York, NY 10022November 4, 2025 - Present
CF SECURED, LLC
Office #1: 110 East 59th Street 4th Floor, New York, NY 10022September 15, 2021 - October 21, 2025
SG AMERICAS SECURITIES, LLC
November 21, 2017 - August 10, 2021
CITIGROUP GLOBAL MARKETS INC.
October 24, 2011 - October 20, 2017
UBS 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
(11/3/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/8/2012
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CF SECURED, LLC
CRD#: 285841 / SEC#: , 8-69863
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CF SECURED HOLDINGS, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFIER/GLOBAL HEAD OF EQUITIES | 4424051 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory 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.
