Nai F. 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.
Nai Fung Chen was a registered financial professional .
Nai is a previously registered financial professional and started their career in finance in 1978. Nai had worked at 4 firms and has passed the Series 63, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2011 - June 29, 2012
EAST / WEST SECURITIES CORP.
June 6, 2005 - March 20, 2011
EAST/WEST SECURITIES CO.
July 17, 1981 - March 2, 2012
EAST/WEST SECURITIES CO.
April 9, 1980 - August 11, 1981
CHARLES SCHWAB & CO., INC.
December 1, 1978 - July 15, 1979
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Current Firm
EAST / WEST SECURITIES CORP.
CRD#: 157346 / SEC#: , 8-68846
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHIEN, ECHO CHIAPING | CCO | 2750051 |
| CHIEN, ECHO CHIAPING | PRESIDENT, CEO | 2750051 |
| CHENG, NICKY MEIWEIN | CHIEF FINANCIAL OFFICER | 4146799 |
| CHENG, NICKY MEIWEIN | FINOP | 4146799 |
| PARE, MONTEJAR DIMALANTA | REGISTERED OPTIONS PRINCIPAL | 2731190 |
| PARE, MONTEJAR DIMALANTA | REGISTERED MUNICIPAL SECURITIES PRINCIPAL | 2731190 |
Red Flags
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