Weiwei Chen

CLSA AMERICAS

New York, NY 10036

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CRD#: 7117367

Professional summary

Weiwei Chen is a registered financial advisor currently at CLSA AMERICAS, LLC located in New York, New York.

Weiwei is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Weiwei has worked at 1 firm and has passed the Series 66, Series 79TO, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Serves as Chairman/Director for CLSA Americas Holdings, Inc (as of 5/28/19). Serves as a Manager for CSI-USA (as of 5/28/19).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Weiwei Chen's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Weiwei Chen'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

September 3, 2024 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036

RIA

CRD#: 165533

New York, NY

Current

September 3, 2024 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

RIA

CRD#: 165533

New York, NY

Past

November 15, 2019 - August 16, 2024

CLSA AMERICAS, LLC

RIA

CRD#: 165533

NEW YORK, NY

Past

October 3, 2019 - August 16, 2024

CLSA AMERICAS, LLC

CRD#: 165533

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(9/3/2024)

IAR

California
(9/4/2024)

Connecticut
(9/3/2024)

IAR

Connecticut
(9/3/2024)

New York
(9/3/2024)

Texas
(9/3/2024)

IAR

Texas
(9/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/14/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 7/6/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 10/3/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/30/2019

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2019

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

CRD#: 165533 / SEC#: , 8-69166

California

Registered Investment Advisory firm - SEC (1/1/2019 Approved)

Connecticut

Registered Investment Advisory firm - SEC (1/14/2019 Approved)

Texas

Registered Investment Advisory firm - SEC (1/28/2019 Approved)

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

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Contact information

Main Address

1155 Avenue Of The Americas 17th Floor 17th Floor, New York, NY, 10036

Mailing Address

1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

Phone number

(212) 549-5097

Established

Delaware since 08/15/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CLSA AMERICAS HOLDINGS, INC.	MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIE	CCO	2441597
HOLUB, WILLIAM CHARLES	BOARD MEMBER, CFO-FINOP	2680290
PARK, EDWARD	BOARD MEMBER	7550990
SCHWARTZ, BRADLEY HARRIS	BOARD MEMBER, CEO	2372237
ZHANG, HUIZI	BOARD MEMBER	8008880

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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We're Here To Help

Advisor Monitoring

Firm Stability Insights

Weiwei Chen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Weiwei Chen's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Weiwei Chen's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLSA AMERICAS, LLC

CLSA AMERICAS, LLC

CLSA AMERICAS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2019

Series 79TO

Date: 7/6/2024

Series 7TO

Date: 10/3/2019

SIE

Date: 8/30/2019

Series 24

Date: 10/29/2019

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLSA AMERICAS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CLSA AMERICAS, LLC

TRUST BUT VERIFY

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