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HUI-CHEN CHEN
HUI CHEN LILY CHEN, LILY CHEN
CRD#: 4557356
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
130 Main Street
Los Altos, CA 94022
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2004 (1 year)2 FIRMS2004 - 2006 (2 years)2 FIRMS2006 - 2012 (5 years)2 FIRMS2012 - 2021 (9 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Alabama 9/6/2023

B
Nevada 12/14/2021

B
Arizona 12/14/2021

B
New York 6/22/2021

B
California 6/22/2021

B
North Carolina 6/22/2021

IA
California 6/23/2021

B
Oregon 6/22/2021

B
Colorado 12/14/2021

B
Texas 6/22/2021

B
Florida 6/22/2021

IA
Texas 6/22/2021

B
Georgia 6/22/2021

B
Virginia 6/22/2021

B
Illinois 8/30/2024

B
Washington 6/22/2021

B
Minnesota 10/29/2024

B
Wyoming 11/18/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 130 Main Street, Los Altos, CA 94022
CUPERTINO, CA
Registered with this firm since 6/22/2021

B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 130 Main Street, Los Altos, CA 94022
CUPERTINO, CA
Registered with this firm since 6/22/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/29/2012 - 06/29/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SUNNYVALE, CA
B
05/25/2012 - 06/29/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SUNNYVALE, CA
IA
10/06/2006 - 05/29/2012 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CUPERTINO, CA
B
10/06/2006 - 05/29/2012 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CUPERTINO, CA
IA
02/13/2004 - 10/06/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CUPERTINO, CA
B
02/13/2004 - 10/06/2006 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) CUPERTINO, CA
IA
10/22/2002 - 02/13/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) CUPERTINO, CA
B
08/05/2002 - 02/13/2004 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) ST. CLOUD, MN
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B
Broker
IA
Investment Adviser
Disclosures
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