Henry C. Yen

GRIFFIN CAPITAL SECURITIES

New York, NY 10019-2701

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CRD#: 6716418

Professional summary

Henry Chad Yen Jr, who also goes by Hank Yen, Henry Yen, is a registered financial professional currently at GRIFFIN CAPITAL SECURITIES, LLC located in New York, New York and ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

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"?

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

August 8, 2022 - Present

GRIFFIN CAPITAL SECURITIES, LLC

Office #1: 9 West 57th Street, New York, NY 10019-2701

CRD#: 37739

New York, NY

Current

June 14, 2023 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

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

CRD#: 153502

El Segundo, CA

Past

December 13, 2019 - June 14, 2022

MORGAN STANLEY

RIA

CRD#: 149777

GILBERT, AZ

Past

November 8, 2019 - June 14, 2022

MORGAN STANLEY

CRD#: 149777

GILBERT, AZ

Past

November 4, 2016 - October 25, 2019

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alaska
(8/16/2024)

Arizona
(8/10/2022)

California
(8/16/2024)

Colorado
(10/30/2024)

Hawaii
(8/16/2024)

Idaho
(8/16/2024)

Montana
(8/16/2024)

Nevada
(8/16/2024)

Oregon
(8/16/2024)

Washington
(8/16/2024)

Wyoming
(10/30/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/13/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/15/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

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

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

Broker-Dealer Firm Regulated by FINRA (New York district office)

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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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

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.

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Advisor Monitoring

Firm Stability Insights

Henry C. Yen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Henry Chad Yen Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

ATHENE SECURITIES, LLC

APOLLO GLOBAL SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2019

Series 63

Date: 11/15/2016

SIE

Date: 10/1/2018

Series 7

Date: 11/4/2016

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

TRUST BUT VERIFY

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