XC
Xiao Y. Chen
ASHMORE INVESTMENT MANAGEMENT (US)
New York, NY 10022
Some features on this profile are disabled
CRD#: 5965411
XC
Professional summary
Xiao Yan Chen, who also goes by XIao Y Chen, is a registered financial professional currently at ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION located in New York, New York.
Xiao is registered as a RR (Registered Representative) and started their career in finance in 2011. Xiao has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Xiao Y 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.
CRS (Client Relationship Summary) - BD
Click below to view Xiao Yan 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
November 2, 2011 - Present
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
Office #1: 437 Madison Avenue Suite 1904, New York, NY 10022BD
CRD#: 152920
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
Alabama(4/19/2012)
RR
Alaska(4/19/2012)
RR
Arizona(4/19/2012)
RR
Arkansas(4/19/2012)
RR
California(4/19/2012)
RR
Colorado(4/19/2012)
RR
Connecticut(4/19/2012)
RR
Delaware(4/19/2012)
RR
District of Columbia(4/19/2012)
RR
Florida(4/19/2012)
RR
Georgia(4/19/2012)
RR
Hawaii(4/19/2012)
RR
Idaho(4/19/2012)
RR
Illinois(4/19/2012)
RR
Indiana(4/19/2012)
RR
Iowa(4/19/2012)
RR
Kansas(4/19/2012)
RR
Kentucky(4/19/2012)
RR
Louisiana(4/19/2012)
RR
Maine(4/19/2012)
RR
Maryland(4/19/2012)
RR
Massachusetts(4/19/2012)
RR
Michigan(4/19/2012)
RR
Minnesota(4/19/2012)
RR
Mississippi(4/19/2012)
RR
Missouri(4/19/2012)
RR
Montana(4/19/2012)
RR
Nebraska(4/19/2012)
RR
Nevada(4/19/2012)
RR
New Hampshire(4/19/2012)
RR
New Jersey(4/19/2012)
RR
New Mexico(4/19/2012)
RR
New York(4/19/2012)
RR
North Carolina(4/19/2012)
RR
North Dakota(4/19/2012)
RR
Ohio(4/19/2012)
RR
Oklahoma(4/19/2012)
RR
Oregon(4/19/2012)
RR
Pennsylvania(4/19/2012)
RR
Puerto Rico(4/19/2012)
RR
Rhode Island(4/19/2012)
RR
South Carolina(4/19/2012)
RR
South Dakota(4/19/2012)
RR
Tennessee(4/19/2012)
RR
Texas(4/19/2012)
RR
Utah(4/19/2012)
RR
Vermont(4/19/2012)
RR
Virgin Islands(4/19/2012)
RR
Virginia(4/19/2012)
RR
Washington(4/19/2012)
RR
West Virginia(4/19/2012)
RR
Wisconsin(4/19/2012)
RR
Wyoming(4/19/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AI
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
CRD#: 152920 / SEC#: , 8-68490
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
437 Madison Avenue Suite 1904, New York, NY 10022
Mailing Address
437 Madison Avenue Suite 1904, New York, NY 10022
Phone number
(212) 661-0061
Established
Delaware since 10/31/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
