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Kai Chen

SG Americas Securities, LLC

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About Kai Chen

Kai Chen is an investment professional with over 10 years of experience in the financial services industry. Kai currently works at SG Americas Securities, LLC as a registered representative in New York. Kai has prior experience at both Citigroup Global Markets Inc and UBS Securities LLC. Kai has a strong background in equities and holds the Series 3, 7, 24, 55, 57TO, and 63 licenses. Kai is registered in Connecticut, New Jersey, and New York.

Firm Information

Kai Chen is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Kai Chen’s Registration & Firm History

NY

09/15/2021 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

11/21/2017 - 08/10/2021

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

10/24/2011 - 10/20/2017

UBS SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/11/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/08/2019

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 11/03/2014

Series 3 - National Commodity Futures Examination

BC

Issued 10/08/2012

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/21/2011

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 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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kai Chen.
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