Ray L. Chen
Professional summary
Ray Lai Chen, who also goes by Ray L Chen, Ray Chen, Ray Lai Chen, Rui-jia Jiang, is a registered financial professional currently at MOELIS & COMPANY LLC located in New York, New York.
Ray is registered as a RR (Registered Representative) and started their career in finance in 2014. Ray has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ray Lai Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2024 - Present
MOELIS & COMPANY LLC
Office #1: 399 Park Avenue 4th Floor, New York, NY 10022July 11, 2022 - August 28, 2024
RBC CAPITAL MARKETS, LLC
July 11, 2022 - August 28, 2024
RBC CAPITAL MARKETS, LLC
August 6, 2019 - August 12, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
June 29, 2016 - August 11, 2020
FIDELITY BROKERAGE SERVICES LLC
September 27, 2014 - November 12, 2014
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2024)
Exams
Series 79TO
Date: 8/5/2022
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MOELIS & COMPANY LLC
CRD#: 145115 / SEC#: , 8-67705
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOELIS & COMPANY GROUP LP | PARENT COMPANY | |
| CALLESANO, CHRIS PETER | CFO, PRINCIPAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4889259 |
| MAHMOODZADEGAN, NAVID ALI | CHIEF EXECUTIVE OFFICER | 2609804 |
| MOELIS, KENNETH DAVID | EXECUTIVE CHAIRMAN | 1015047 |
| PILCHER CIAFONE, KATHERINE CELY | CHIEF OPERATING OFFICER | 4573006 |
| RAICH, JEFFREY ALAN | EXECUTIVE VICE CHAIRMAN | 2016620 |
| WATANABE, OSAMU RICHARD | CHIEF LEGAL OFFICER AND CHIEF COMPLIANCE OFFICER | 2875185 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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