YC
Yi-jen Chen
GRIFFINEST ASIA SECURITIES
PASADENA, CA 91101
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CRD#: 6825453
YC
Professional summary
Yi-jen Chen is a registered financial professional currently at GRIFFINEST ASIA SECURITIES, LLC located in Pasadena, California.
Yi-jen is registered as a RR (Registered Representative) and started their career in finance in 2017. Yi-jen has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Yi-jen 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
June 27, 2017 - Present
GRIFFINEST ASIA SECURITIES, LLC
Office #1: 301 North Lake Avenue Suite 110, Pasadena, CA 91101BD
CRD#: 132187
PASADENA, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
SRO Registrations
RR
FINRA
Current Firm
GA
GRIFFINEST ASIA SECURITIES, LLC
FUBON SECURITIES USA, LLC | GRIFFINEST ASIA SECURITIES, LLC
CRD#: 132187 / SEC#: , 8-66571
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101
Mailing Address
301 North Lake Avenue Suite 110, Pasadena, CA 91101
Phone number
(626) 792-1388
Established
California since 03/23/2004
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (3 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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