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HY

Henry C. Yen

ATHENE SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 6716418
HY

Professional summary

Henry Chad Yen Jr, who also goes by Hank Yen, Henry Yen, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa and APOLLO GLOBAL SECURITIES, LLC located in El Segundo, California.

Henry is registered as a RR (Registered Representative) and started their career in finance in 2016. Henry has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hank Yen | Henry Yen

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Henry Chad Yen Jr's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 14, 2023 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Current

August 16, 2024 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 2121 Rosecrans Avenue Suite 5300, El Segundo, CA 90245
BD
CRD#: 153502
El Segundo, CA
Past

August 8, 2022 - March 13, 2026

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
Phoenix, AZ
Past

December 13, 2019 - June 14, 2022

MORGAN STANLEY

RIA
CRD#: 149777
GILBERT, AZ
Past

November 8, 2019 - June 14, 2022

MORGAN STANLEY

BD
CRD#: 149777
GILBERT, AZ
Past

November 4, 2016 - October 25, 2019

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ

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
Alaska
(8/16/2024)
RR
Arizona
(6/14/2023)
RR
California
(8/16/2024)
RR
Colorado
(10/30/2024)
RR
Hawaii
(8/16/2024)
RR
Idaho
(8/16/2024)
RR
Montana
(8/16/2024)
RR
Nevada
(8/16/2024)
RR
Oregon
(8/16/2024)
RR
Washington
(8/16/2024)
RR
Wyoming
(10/30/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/13/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AG
APOLLO GLOBAL SECURITIES, LLC
AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9 West 57th Street, New York, NY 10019-2701
Mailing Address
9 West 57th Street, New York, NY 10019-2701
Phone number
(212) 515-3200
Established
Delaware since 03/11/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
APOLLO GLOBAL SECURITIES INTERMEDIATE, L.P.SOLE MEMBER
CHATTERJEE, WHITNEY AMEMBER BOARD OFMANAGERS7874808
DRESCHER, STEPHANIEHEAD OF MARKETING3055145
LEVY, YAEL KENANCHIEF COMPLIANCE OFFICER4435788
NEEDLEMAN, ERIC DAVIDPRESIDENT2773431
TREBING, ADAM PMEMBER BOARD OF MANAGERS5828238
TREBING, ADAM PCFO / FINOP / PFO / POO5828238

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

APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502West Des Moines, IA 50266

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