Individual Firm
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Mark C Chen
CHIH YU CHEN, MARK CHIH YU CHEN, MARK CHEN
CRD#: 5317395
IA
B
HSBC SECURITIES (USA) INC.CRD#: 19585 1107 S. Baldwin Avenue
Suite C
Arcadia, CA 91007
Suite C
Arcadia, CA 91007
0
Disclosures
12
Years of Experience
View By:
State Registrations
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Arizona 6/16/2022
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Missouri 9/2/2024
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Arizona 7/5/2022
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Nevada 5/4/2022
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California 3/30/2022
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New Jersey 4/8/2024
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California 3/30/2022
B
New Mexico 4/3/2024
B
Connecticut 10/12/2022
B
New York 5/4/2022
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Connecticut 10/12/2022
B
North Carolina 2/22/2024
B
Florida 5/16/2023
B
Oregon 5/21/2024
B
Georgia 7/7/2022
B
Pennsylvania 5/18/2022
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Georgia 7/14/2022
B
Texas 5/4/2022
B
Illinois 7/24/2024
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Texas 5/4/2022
B
Iowa 9/2/2024
B
Washington 11/17/2022
B
Massachusetts 9/26/2022
SRO Registrations
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IA
Registered with this firm since 3/30/2022
B
Registered with this firm since 3/30/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/26/2019 - 03/11/2022 | San Ramon, CA | |
B | 03/28/2019 - 03/11/2022 | LITTLETON, CO | |
IA | 06/22/2017 - 03/07/2019 | BELLFLOWER, CA | |
B | 06/21/2017 - 03/07/2019 | BELLFLOWER, CA | |
IA | 05/06/2015 - 06/27/2017 | TEMPLE CITY, CA | |
B | 05/06/2015 - 06/27/2017 | TEMPLE CITY, CA | |
IA | 11/14/2014 - 03/10/2015 | PLACENTIA, CA | |
B | 07/18/2014 - 03/10/2015 | PLACENTIA, CA | |
B | 05/09/2012 - 12/18/2012 | SAN GABRIEL, CA | |
B | 06/13/2007 - 12/06/2008 | CITY OF INDUSTRY, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.