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NC

Neil Chen

INTREPID PARTNERS
New York, NY 10019
Some features on this profile are disabled
CRD#: 5571683
NC

Professional summary

Neil Chen is a registered financial professional currently at INTREPID PARTNERS, LLC located in New York, New York.

Neil is registered as a RR (Registered Representative) and started their career in finance in 2009. Neil has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neil 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

August 19, 2015 - Present

INTREPID PARTNERS, LLC

Office #1: 712 Fifth Avenue 31st Floor, New York, NY 10019
BD
CRD#: 198516
New York, NY
Past

August 14, 2009 - May 11, 2015

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
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
(8/19/2015)
RR
Colorado
(8/19/2015)
RR
Louisiana
(8/19/2015)
RR
New York
(8/19/2015)
RR
Oklahoma
(8/19/2015)
RR
Texas
(8/19/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IP
INTREPID PARTNERS, LLC
INTREPID PARTNERS, LLC

CRD#: 198516 / SEC#: , 8-69615

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

Main Address
712 Fifth Avenue 31st Floor, New York, NY, 10019
Mailing Address
712 Fifth Avenue 31st Floor, New York, NY, 10019
Phone number
(212) 388-5020
Established
Delaware since 02/19/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INTREPID FINANCIAL PARTNERS, L.L.C.MANAGING MEMBER
CHUNG, MICHAELFINOP/CFO5739877
MCGEE, HUGH EDWARD IIICEO1782899
WINCHENBAUGH, CHRISTOPHER FRANCISPRESIDENT/CCO/COO2790899

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

INTREPID PARTNERS, LLC

CRD#: 198516New York, NY 10019

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