Miaofan 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.
Miaofan Chen was a registered financial professional .
Miaofan is a previously registered financial professional and started their career in finance in 2017. Miaofan had worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2022 - November 21, 2022
NEWMARK SECURITIES, LLC
September 28, 2017 - November 21, 2022
CANTOR FITZGERALD & CO.
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
NEWMARK SECURITIES, LLC
CRD#: 309193 / SEC#: , 8-70554
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWMARK PARTNERS, L.P. | SOLE MEMBER | |
| DAVIS, JOSHUA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 7761240 |
| KUEHNEN, ERIC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 4577416 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SMIGEL, STEPHEN JARED | CHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2401258 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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