JC
James Chen
EAST WEST MARKETS
DALLAS, TX 75244
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CRD#: 7238013
JC
Professional summary
James Chen is a registered financial professional currently at EAST WEST MARKETS, LLC located in Dallas, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 2021. James has worked at 1 firm and has passed the Series 79TO and SIE exams.
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 James 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
November 2, 2021 - Present
EAST WEST MARKETS, LLC
Office #1: 5001 Spring Valley Road Suite 400w, Dallas, TX 75244BD
CRD#: 146871
DALLAS, TX
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
General Industry/Product Exam
RR
Series 79TO
Date: 11/2/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EW
EAST WEST MARKETS, LLC
EAST WEST MARKETS, LLC | ENSTREAM CAPITAL SECURITIES, LLC | ENSTREAM CAPITAL MARKETS, LLC
CRD#: 146871 / SEC#: , 8-67858
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Mailing Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Phone number
(469) 801-7397
Established
Texas since 07/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (4 States and Territories)
Documents
Red Flags
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