Andy G. Chen
Professional summary
Andy Gao Yi Chen, who also goes by Andy G. Chen, Andy Chen, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.
Andy is registered as a RR (Registered Representative) and started their career in finance in 2018. Andy has worked at 3 firms and has passed the Series 63, Series 7TO, Series 86, Series 87, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andy Gao Yi Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 27, 2023 - Present
WOLFE RESEARCH SECURITIES
Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017April 4, 2023 - November 21, 2023
BERENBERG CAPITAL MARKETS LLC
May 22, 2018 - November 18, 2020
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/14/2023)
Exams
Series 7TO
Date: 4/4/2023
General Securities Representative ExaminationFINRA
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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