Alex Chen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alex Chen, who also goes by Alex Tony Chen, was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 2021. Alex had worked at 2 firms and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2022 - November 13, 2024
GALAXY DIGITAL PARTNERS LLC
August 9, 2021 - September 15, 2022
CREDIT SUISSE SECURITIES (USA) 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
Exams
Series 7TO
Date: 2/15/2023
General Securities Representative ExaminationSeries 79TO
Date: 8/8/2021
Investment Banking Registered Representative ExaminationCurrent Firm
GALAXY DIGITAL PARTNERS LLC
CRD#: 289605 / SEC#: , 8-70001
Contact information
FINRA licenses (53 States and Territories)
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.
