Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Chen is a financial advisor with over 20 years of experience in the industry. Douglas is currently registered with BTG Pactual US Capital, LLC in New York, NY. Prior to joining BTG Pactual US Capital, LLC, Douglas worked at UBS Securities LLC, ITAU BBA USA SECURITIES, INC. , DEUTSCHE BANK SECURITIES INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Douglas holds licenses including Series 7, Series 24, Series 63, Series 79TO, Series 99TO and SIE.
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.
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.
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2
NY
05/05/2020 - Present
BTG Pactual US Capital, LLC (NEW YORK NY)
NY
09/14/2016 - 04/02/2020
UBS SECURITIES LLC (NEW YORK NY)
NY
09/29/2008 - 11/11/2014
ITAU BBA USA SECURITIES, INC. (NEW YORK NY)
NY
07/21/2000 - 09/30/2008
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
03/30/1998 - 07/20/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 08/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/19/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/26/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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