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Fan Chen

Maxim Financial Advisors LLC

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About Fan Chen

Fan Chen is an investment advisor representative at Maxim Financial Advisors LLC in NEW YORK, NY. Fan has been in the industry since 2010 and has a Series 63, Series 65, Series 7 and SIE license. Prior to joining Maxim Financial Advisors LLC, Fan was a registered representative at FOUR POINTS CAPITAL PARTNERS LLC, WESTPARK CAPITAL, INC., LEGEND SECURITIES, INC., OLYMPUS SECURITIES, LLC, HALCYON CABOT PARTNERS, LTD., and ASSENT LLC. Fan has experience providing portfolio management services to individuals and businesses.

Firm Information

Fan Chen is currently registered with Maxim Financial Advisors LLC. Maxim Financial Advisors LLC is an investment advisor registered with the SEC and located in NEW YORK, NY. They have 41 investment adviser representatives and manage approximately $371,163,779 in assets for 754 clients. The firm provides portfolio management services for individuals, businesses and pension plans. They also offer selection of other advisors services and participate in wrap fee programs.
Maxim Financial Advisors LLC

300 PARK AVE

NEW YORK, NY 10022

$371.16M

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Fan Chen’s Registration & Firm History

NY

08/07/2021 - Present

Maxim Financial Advisors LLC (NEW YORK NY)

NY

08/09/2018 - 03/07/2019

FOUR POINTS CAPITAL PARTNERS LLC (NEW YORK NY)

NY

09/20/2016 - 06/29/2018

WESTPARK CAPITAL, INC. (NEW YORK NY)

NY

02/02/2016 - 09/07/2016

LEGEND SECURITIES, INC. (NEW YORK NY)

NY

09/16/2015 - 02/10/2016

OLYMPUS SECURITIES, LLC (NEW YORK NY)

NY

05/17/2012 - 09/14/2015

HALCYON CABOT PARTNERS, LTD. (NEW YORK NY)

NY

05/09/2008 - 05/28/2010

ASSENT LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/31/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/26/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/08/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Fan Chen.
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