Ziwen Chen
Professional summary
Ziwen Chen, who also goes by Sam Chen, is a registered financial professional currently at US TIGER SECURITIES, INC. located in New York, New York and TRADEUP SECURITIES, INC. located in New York, New York.
Ziwen is registered as a RR (Registered Representative) and started their career in finance in 2020. Ziwen has worked at 3 firms and has passed the Series 99TO, Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ziwen Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2022 - Present
US TIGER SECURITIES, INC.
Office #1: 437 Madison Ave 27th Floor, New York, NY 10022January 27, 2022 - Present
TRADEUP SECURITIES, INC.
Office #1: 437 Madison Ave 27th Floor, New York, NY 10022September 4, 2020 - January 21, 2021
T3 TRADING GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 4/23/2022
Operations Professional ExaminationSeries 57TO
Date: 9/4/2020
Securities Trader ExamCboe EDGX Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADEUP SECURITIES, INC.
CRD#: 18483 / SEC#: , 8-36754
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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