Alexander Y. Chien
Professional summary
Alexander Yu-herng Chien, who also goes by Alex Chien, Alexander Yu-herng Chien, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in San Francisco, California.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 2015. Alexander has worked at 5 firms and has passed the Series 63, SIE, Series 79 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexander Yu-herng Chien's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 4, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: One Sansome St. 41st Floor, San Francisco, CA 94104October 30, 2023 - October 31, 2024
AQ TECHNOLOGY PARTNERS LLC
August 15, 2022 - October 23, 2023
INTREPID INVESTMENT BANKERS LLC
January 21, 2021 - August 16, 2022
SHEA & COMPANY
August 7, 2015 - January 4, 2021
KPMG CORPORATE FINANCE 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
(11/4/2024)
Exams
Series 62
Date: 8/7/2015
Corporate Securities Limited Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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.
