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KS

Kengning Shao-chen

INTERACTIVE BROKERS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 5910386
KS

Professional summary

Kengning Shao-chen is a registered financial professional currently at INTERACTIVE BROKERS CORP. located in Greenwich, Connecticut and INTERACTIVE BROKERS LLC located in Greenwich, Connecticut.

Kengning is registered as a RR (Registered Representative) and started their career in finance in 2012. Kengning has worked at 3 firms and has passed the SIE and Series 99 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 Kengning Shao-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 24, 2012 - Present

INTERACTIVE BROKERS CORP.

Office #1: Pickwick Plaza, Greenwich, CT 06830
BD
CRD#: 117942
Greenwich, CT
Current

August 24, 2012 - Present

INTERACTIVE BROKERS LLC

Office #1: Pickwick Plaza, Greenwich, CT 06830
BD
CRD#: 36418
Greenwich, CT
Current

August 24, 2012 - Present

IBKR SECURITIES SERVICES LLC

Office #1: Three Pickwick Plaza 2nd Floor, Greenwich, CT 06830
BD
CRD#: 33319
Greenwich, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 8/23/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

IS
IBKR SECURITIES SERVICES LLC
IBKR SECURITIES SERVICES LLC | TIMBER HILL LLC | TIMBER HILL INC.

CRD#: 33319 / SEC#: , 8-28569

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

Main Address
Three Pickwick Plaza 2nd Floor, Greenwich, CT 06830
Mailing Address
Three Pickwick Plaza 2nd Floor, Greenwich, CT 06830
Phone number
(203) 618-5800
Established
Connecticut since 07/01/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
IBG LLCMANAGING MEMBER
BRODY, PAUL JONATHANCHIEF FINANCIAL OFFICER1722066
BRODY, PAUL JONATHANPRINCIPAL OPERATIONS OFFICER1722066
FRANK, THOMAS ANSELMVICE PRESIDENT2360213
GALIK, MILANCHIEF EXECUTIVE OFFICER2204066
ILES, DAVID WALTERVICE PRESIDENT2485476
JACOBOWITZ, BRADFORD LCHIEF COMPLIANCE OFFICER2615208
MENICUCCI, JAMESFINANCIAL AND OPERATIONAL PRINCIPAL6590173
SHAO-CHEN, KENGNINGTREASURER5910386

Disclosures

Regulatory Event42

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

IBKR SECURITIES SERVICES LLC

CRD#: 33319Greenwich, CT 06830

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