Si Chen
Professional summary
Si Chen, who also goes by Jimmy Chen, is a registered financial advisor currently at CLSA AMERICAS, LLC located in New York, New York.
Si is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Si has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Si Chen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Si Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2019 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036June 1, 2017 - Present
CLSA AMERICAS, LLC
Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036March 26, 2012 - June 1, 2017
CITIC SECURITIES INTERNATIONAL USA, LLC
January 4, 2011 - August 3, 2011
CICC US SECURITIES, INC.
October 13, 2009 - January 4, 2010
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2018)
(2/6/2019)
(2/6/2019)
(6/1/2017)
(6/1/2017)
(6/1/2017)
(2/6/2019)
(11/9/2018)
(10/10/2018)
Exams
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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