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AC

Alex H. Chen

IMC FINANCIAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5948188
AC

Professional summary

Alex Hao Chen, who also goes by Alex H Chen, is a registered financial professional currently at IMC FINANCIAL MARKETS located in Chicago, Illinois.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2012. Alex has worked at 5 firms and has passed the Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex H 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alex Hao 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

March 6, 2026 - Present

IMC FINANCIAL MARKETS

Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 104143
Chicago, IL
Past

May 23, 2019 - September 4, 2024

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
New York, NY
Past

September 29, 2015 - September 4, 2024

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

January 2, 2014 - May 20, 2015

VIRTU AMERICAS LLC

BD
CRD#: 149823
NEW YORK, NY
Past

August 2, 2012 - January 2, 2014

OCTEG, LLC

BD
CRD#: 117429
NEW YORK, NY

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
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/17/2012
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/1/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/8/2019
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

IF
IMC FINANCIAL MARKETS
HOLLAND TRADING HOUSE LLC | IMC-CHICAGO, LLC | IMC FINANCIAL MARKETS

CRD#: 104143 / SEC#: , 8-52600

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

Main Address
233 South Wacker Drive #4300, Chicago, IL 60606
Mailing Address
233 South Wacker Drive #4300, Chicago, IL 60606
Phone number
(312) 244-3300
Established
Illinois since 04/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IMC AMERICAS, INC.MEMBER
DOWNEY, JASON EDWARDCCO6080734
HANSEN, CHRISTINE ECEO5679799
HOFFMAN, ADAM MICHAELCOO, CFO, PFO, POO5579229
TAYLOR, LAURA DENISEFINOP7116097

Disclosures

Regulatory Event35

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

IMC FINANCIAL MARKETS

CRD#: 104143Chicago, IL 60606

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