Alicia B. 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.
Alicia Binying Chen, who also goes by Alicia Chen, was a registered financial professional .
Alicia is a previously registered financial professional and started their career in finance in 2021. Alicia 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
July 20, 2022 - May 1, 2024
RAINE SECURITIES LLC
July 23, 2021 - June 13, 2022
PJT PARTNERS LP
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: 8/15/2022
General Securities Representative ExaminationSeries 79TO
Date: 7/23/2021
Investment Banking Registered Representative ExaminationCurrent Firm
RAINE SECURITIES LLC
CRD#: 137873 / SEC#: , 8-67121
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAINE ADVISORS LLC | OWNER | |
| CHIANESE, ALFRED JOSEPH III | CHIEF OPERATING OFFICER | 6339436 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GARDNER, BRANDON WADE | PRESIDENT | 5767814 |
| RAVITCH, JOSEPH | CO-CHIEF EXECUTIVE OFFICER | 2504532 |
| RISHER, ANGELA RENEE | CHIEF COMPLIANCE OFFICER | 6676957 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER | 7338445 |
| SINE, JEFFREY ALAN | CO-CHIEF EXECUTIVE OFFICER | 1557736 |
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.
