Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Chen is a financial professional with over 10 years of experience in the financial services industry. Mark is currently registered with HSBC Securities (USA) Inc. and holds Series 6, 7, 63, 65, and 66 licenses. Mark is a Certified Financial Planner™ and a Chartered Financial Consultant. Mark has a long history of working with individual investors, businesses, and pooled investment vehicles. Mark has previously been registered with Edward Jones, Unionbanc Investment Services, LLC, and MetLife Securities Inc.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
05/04/2022 - Present
Hsbc Securities (usa) Inc. (Arcadia CA)
CO
03/28/2019 - 03/11/2022
THE LEADERS GROUP, INC. (LITTLETON CO)
CA
06/21/2017 - 03/07/2019
UNIONBANC INVESTMENT SERVICES, LLC (BELLFLOWER CA)
CA
05/06/2015 - 06/27/2017
HSBC SECURITIES (USA) INC. (TEMPLE CITY CA)
CA
07/18/2014 - 03/10/2015
EDWARD JONES (PLACENTIA CA)
CA
05/09/2012 - 12/18/2012
HSBC SECURITIES (USA) INC. (SAN GABRIEL CA)
CA
06/13/2007 - 12/06/2008
METLIFE SECURITIES INC. (CITY OF INDUSTRY CA)
BOTH
Issued 09/19/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/23/2012
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/10/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2014
Series 7 - General Securities Representative Examination
BC
Issued 05/08/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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