Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alice? Claim Your ProfileAlice Chen is a financial professional with over 17 years of experience in the financial services industry. Alice is currently a registered representative for Loop Capital Markets LLC and Btig, LLC. Prior to joining Loop Capital Markets LLC, Alice was a registered representative for Chardan Capital Markets LLC. Before that, Alice worked at Robert W. Baird & Co. Incorporated, MKM Partners LLC, Neonet Securities, Inc., and Credit Suisse Securities (USA) LLC. Alice holds a variety of securities licenses, including Series 3, 7, 16, 24, 55, 57TO, 63, 87, and SIE. Alice is also a registered principal for Loop Capital Markets LLC.
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.
Transition management services/equity research services
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.
Earned based on transactions or products sold.
Negotiated fees for research services
1
2
NY
07/09/2020 - Present
Loop Capital Markets LLC (NEW YORK NY)
NY
07/14/2021 - 07/03/2023
CHARDAN CAPITAL MARKETS LLC (NEW YORK NY)
WI
12/27/2016 - 12/13/2017
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
CT
11/27/2012 - 01/03/2017
MKM PARTNERS LLC (STAMFORD CT)
NJ
01/29/2007 - 10/17/2011
NEONET SECURITIES, INC. (JERSEY CITY NJ)
NY
10/12/2004 - 10/23/2006
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 09/29/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2015
Series 4 - Registered Options Principal Examination
BC
Issued 03/21/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2017
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 03/30/2015
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/22/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/11/2004
Series 7 - General Securities Representative Examination
BC
Issued 10/06/2004
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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