Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alan? Claim Your ProfileAlan Chen is a registered representative with RBC Capital Markets, LLC. Alan is based in New York, NY and has been in the industry since February 18, 2024. Alan is registered in New York and has passed the Series 63, Series 7TO, Series 87 and SIE exams. Alan specializes in Portfolio Management for Businesses, Portfolio Management for Individuals, Portfolio Management for Pooled Investment Vehicles. Alan's clients include individuals other than high-net-worth individuals, pension and profit sharing plans, insurance companies, high-net-worth individuals, charitable organizations, corporations or other businesses, and state or municipal government entities.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
02/19/2024 - Present
RBC Capital Markets, LLC (NEW YORK NY)
BC
Issued 03/15/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2024
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/19/2024
Series 7TO - General Securities Representative Examination
BC
Issued 02/12/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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