MC
Minyi N. Chen
QUBED CAPITAL
Oakland, CA 94611
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CRD#: 5926022
MC
Professional summary
Minyi Nmn Chen, who also goes by James Chen, is a registered financial advisor currently at QUBED CAPITAL, LLC located in Oakland, California.
Minyi is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Minyi has worked at 1 firm and has passed the Series 3 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James 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.
MINYI CHEN IS A CONSULTANT OF ADVISORSHARES INVESTMENTS, LLC, AND SERVES AS A PORTFOLIO STRATEGIST FOR THE EXCHANGE-TRADED FUND, ADVISORSHARES INSIDERS ADVANTAGE ETF (Ticker symbol: SURE). QUBED CAPITAL, LLC ALWAYS ACTS IN THE BEST INTERESTS OF ITS CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Minyi Nmn 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®
NoneExperience
Current
January 5, 2015 - Present
QUBED CAPITAL, LLC
Office #1: 6114 La Salle Ave Suite 476, Oakland, CA 94611RIA
CRD#: 173854
Oakland, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/5/2015)
Current Firm
QC
QUBED CAPITAL, LLC
CHEN, MINYI | WELLS BAY CAPITAL, LLC | QUBED CAPITAL, LLC
CRD#: 173854 / SEC#:
California
Registered Investment Advisory firm - (1/1/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6114 La Salle Ave Suite 476, Oakland, CA 94611
Mailing Address
Phone number
(510) 397-8332
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 10,878,681 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 3/28/2020 |
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
QUBED CAPITAL, LLC
CRD#: 173854Oakland, CA 94611TRUST BUT VERIFY
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