JC
Johnny D. Chen
RAYMOND JAMES (USA) LTD.
Toronto, Ontario, M5H 3Y2
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CRD#: 6694249
JC
Professional summary
Johnny Dragon Chen, who also goes by Johnny D Chen, Johnny Chen, is a registered financial professional currently at RAYMOND JAMES (USA) LTD. .
Johnny is registered as a RR (Registered Representative) and started their career in finance in 2016. Johnny has worked at 3 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Johnny D Chen | Johnny Chen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Johnny Dragon Chen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 1, 2025 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 40 King Street West Suite 5400, Scotia Plaza, Toronto, Ontario, M5H 3Y2RIA
BD
CRD#: 25853
Toronto, Ontario,
Past
April 13, 2022 - June 13, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
VANCOUVER, BRITISH COLUMBIA,
Past
September 2, 2016 - March 2, 2022
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
TORONTO,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2025)
RR
California(5/1/2025)
RR
Connecticut(5/1/2025)
RR
Delaware(5/1/2025)
RR
District of Columbia(5/1/2025)
RR
Florida(5/1/2025)
RR
Illinois(5/1/2025)
RR
Maryland(5/1/2025)
RR
Massachusetts(5/1/2025)
RR
Michigan(5/1/2025)
RR
New Jersey(5/1/2025)
RR
New York(5/1/2025)
RR
Pennsylvania(5/1/2025)
RR
Texas(5/1/2025)
RR
Vermont(5/1/2025)
RR
Virginia(5/1/2025)
RR
Wisconsin(5/1/2025)
RR
Wyoming(5/1/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 9/2/2016
Canada Module of the General Securities Registered Representative (With Options Questions)SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 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.
Company Information
RAYMOND JAMES (USA) LTD.
CRD#: 25853Toronto, Ontario, M5H 3Y2TRUST BUT VERIFY
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