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Fangyi Chen

Barclays Capital Inc.

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About Fangyi Chen

Fangyi Chen is a registered representative with Barclays Capital Inc. in Menlo Park, California. Fangyi Chen has been in the financial services industry since 2018. Fangyi Chen has passed the Series 63, SIE, Series 79 and Series 7 exams. Fangyi Chen was previously registered with UBS Securities LLC and Jefferies LLC in San Francisco, California.

Firm Information

Fangyi Chen is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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.

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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Fangyi Chen’s Registration & Firm History

CA

08/09/2021 - Present

Barclays Capital Inc. (MENLO PARK CA)

CA

11/12/2019 - 08/03/2021

UBS SECURITIES LLC (SAN FRANCISCO CA)

CA

06/20/2018 - 09/12/2019

JEFFERIES LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 09/12/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/17/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 08/17/2016

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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 Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, 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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Fangyi Chen.
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