AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DC

Denno M. Chen

TMX ALPHA US
Toronto, M5H 1S3
Some features on this profile are disabled
CRD#: 8012832
DC

Professional summary

Denno Min-wei Chen, who also goes by Denno Chen, is a registered financial professional currently at TMX ALPHA US, LLC .

Denno is registered as a RR (Registered Representative) and started their career in finance in 2024. Denno has worked at 1 firm and has passed the Series 14 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Denno 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 Denno Min-wei 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

December 2, 2024 - Present

TMX ALPHA US, LLC

Office #1: 100 Adelaide Street West, Toronto, M5H 1S3Office #2: 225 Liberty St, Suite 2310, New York, NY 10281
BD
CRD#: 329008
Toronto,

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

Principal/Supervisory Exam
RR
Series 14
Date: 12/2/2024
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TMX ALPHA US, LLC
TMX ALPHA US, LLC | TSX ALPHA U.S., INC.

CRD#: 329008 / SEC#: , 8-71182

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
225 Liberty St, Suite 2310, New York, NY 10281
Mailing Address
225 Liberty St, Suite 2310, New York, NY 10281
Phone number
(332) 900-6690
Established
Delaware since 11/01/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TMX U.S. HOLDINGS, INC.SHAREHOLDER
CHEN, DENNO MIN-WEICHIEF COMPLIANCE OFFICER8012832
DISPIGNA, RALPH JOHNDIRECTOR, HEAD OF SALES6507539
FREDERICK, CHARLESPRESIDENT3272244
RICHMOND, LAURE ECFO, FINOP5115429

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

TMX ALPHA US, LLC

CRD#: 329008Toronto, M5H 1S3

TRUST BUT VERIFY

Monitor Denno Chen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

John Edward Krehbiel
John KrehbielAdvisorCheck Check Mark
KREHBIEL FINANCIAL LLC
IAR
Satellite Beach, FL
Dena Michelle Wilhoit
Dena WilhoitAdvisorCheck Check Mark
STATE FARM INVESTMENT MANAGEMENT CORP.
IAR
RR
GRAYSON, KY
AH
Augustine HongAdvisorCheck Check Mark
HIGHTOWER ADVISORS, LLC
IAR
Bradenton, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.