Monica Chen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Monica Chen was a registered financial professional .
Monica is a previously registered financial professional and started their career in finance in 2012. Monica had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2021 - December 20, 2024
ARCHSTONE CAPITAL, LLC
July 25, 2018 - June 2, 2020
CITIGROUP GLOBAL MARKETS INC.
September 5, 2017 - July 6, 2018
DEUTSCHE BANK SECURITIES INC.
July 17, 2012 - July 28, 2015
RBC CAPITAL MARKETS, LLC
May 8, 2012 - July 28, 2015
RBC CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ARCHSTONE CAPITAL, LLC
CRD#: 174435 / SEC#: , 8-69573
Contact information
Documents
Red Flags
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