Yutong 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.
Yutong Chen, who also goes by Anthony Chen, Tony Chen, was a registered financial professional .
Yutong is a previously registered financial professional and started their career in finance in 2015. Yutong had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
December 16, 2022 - December 17, 2024
ALLY INVEST SECURITIES LLC
October 28, 2021 - December 17, 2024
ALLY INVEST ADVISORS
January 14, 2019 - May 28, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 21, 2016 - May 28, 2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 15, 2015 - June 17, 2016
VANGUARD MARKETING 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
Exams
Current Firm
ALLY INVEST SECURITIES LLC
CRD#: 136131 / SEC#: , 8-66982
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
