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ZC

Zi Di Chen

WESTMINSTER RESEARCH ASSOCIATES LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 7605734
ZC

Professional summary

Zi Di Chen, who also goes by Zidi Chen, is a registered financial professional currently at WESTMINSTER RESEARCH ASSOCIATES LLC located in New York, New York.

Zi Di is registered as a RR (Registered Representative) and started their career in finance in 2022. Zi Di has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Zidi Chen

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Zi Di 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®
None

Experience

Current

October 10, 2022 - Present

WESTMINSTER RESEARCH ASSOCIATES LLC

Office #1: 22 Vanderbilt Avenue 20 Floor, New York, NY 10017
BD
CRD#: 14508
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(12/9/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/9/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/10/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/5/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WR
WESTMINSTER RESEARCH ASSOCIATES LLC
C B INTERNATIONAL SECURITIES,INC. | WESTMINSTER RESEARCH ASSOCIATES LLC | WESTMINSTER RESEARCH ASSOCIATES INC. | TD COWEN WESTMINSTER RESEARCH | COUNTY NATWEST INTERNATIONAL LIMITED

CRD#: 14508 / SEC#: , 8-28900

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
262 Harbor Drive, Stamford, CT 06902
Mailing Address
22 Vanderbilt Avenue 20floor, New York, NY 10017
Phone number
(212) 448-6050
Established
Delaware since 09/27/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
COWEN EXECUTION HOLDCO LLCDIRECT PARENT
BOWEN-FARSEWICZ, MELISSA ANNPRINCIPAL FINANCIAL OFFICER AND FINOP6022667
BROADBERY, MICHAELCHIEF COMPLIANCE OFFICER6947899
HOLMES, JOHNCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1281617
TISCORNIA, CHRISTOPHERCHIEF EXECUTIVE OFFICER2836418

Disclosures

Regulatory Event1

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.

Company Information

WESTMINSTER RESEARCH ASSOCIATES LLC

CRD#: 14508New York, NY 10017

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