Steven W. 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.
Steven Weyhan Chen was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2012. Steven had worked at 3 firms and has passed the SIE, Series 55, Series 7 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2014 - July 21, 2015
SUSQUEHANNA SECURITIES, LLC
January 21, 2014 - July 7, 2014
SUSQUEHANNA FINANCIAL GROUP, LLLP
August 3, 2013 - July 7, 2014
SAL EQUITY TRADING, GP
November 19, 2012 - January 21, 2014
SUSQUEHANNA SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 1/24/2014
Limited Representative-Equity Trader ExamSeries 56
Date: 11/16/2012
Proprietary Trader Qualification ExaminationCurrent Firm
SUSQUEHANNA SECURITIES, LLC
CRD#: 35874 / SEC#: , 8-47034
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 60 |
Red Flags
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