JC
Jacob H. Chen
VANQUOUR LLC
New York, NY 10007
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CRD#: 7712282
JC
Professional summary
Jacob Hao Chen is a registered financial advisor currently at VANQUOUR LLC located in New York, New York and BRIGHTON SECURITIES CORP. located in Rochester, New York.
Jacob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Jacob has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Renting units of his residence to tenants; less than an hour per week of time spent on activity; Receives $2400/month in rent payments; Non-investment, insurance or securities industry related; Tenants are not investment clients.
CRS (Client Relationship Summary) - RIA
Click below to view Jacob Hao Chen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jacob Hao 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
April 1, 2023 - Present
VANQUOUR LLC
Office #1: 3 World Trade Center 38th Floor 175 Greenwich Street, New York, NY, 10007RIA
CRD#: 317552
New York, NY
Current
April 16, 2024 - Present
BRIGHTON SECURITIES CORP.
Office #1: 1703 Monroe Avenue, Rochester, NY 14618Office #2: 1703 Monroe Avenue, Rochester, NY 14618-1487RIA
BD
CRD#: 3875
Rochester, NY
Current
May 14, 2024 - Present
BRIGHTON SECURITIES CORP.
Office #1: 1703 Monroe Avenue, Rochester, NY 14618Office #2: 1703 Monroe Avenue, Rochester, NY 14618-1487RIA
BD
CRD#: 3875
Rochester, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BRIGHTON SECURITIES CORP.
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
RIA
Registered Investment Advisory firm - SEC (9/8/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(6/11/2025)
RR
California(10/16/2025)
RR
Florida(2/6/2025)
RR
Georgia(10/6/2024)
RR
Massachusetts(4/17/2025)
IAR
New Jersey(6/20/2023)
IAR
New York(4/1/2023)
RR
New York(8/6/2024)
RR
North Carolina(7/2/2025)
RR
South Carolina(7/1/2025)
RR
Virginia(7/1/2025)
RR
Washington(7/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/14/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BRIGHTON SECURITIES CORP.
BRIGHTON FINANCIAL PLANNING | BRIGHTON SECURITIES CORP.
CRD#: 3875 / SEC#: 801-62276, 8-14599
RIA
Registered Investment Advisory firm - SEC (9/8/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1703 Monroe Avenue, Rochester, NY 14618
Mailing Address
1703 Monroe Avenue, Rochester, NY 14618-1487
Phone number
(585) 473-3590
Established
New York since 03/05/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
35
SEC notice filing (21 States and Territories)
FINRA licenses (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,384 |
| AUM (Assets Under Management) | $ 986,154,864 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 03/01/2024 | ||
| 03/20/2023 |
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.
