linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Michael Yao Chen

Mizuho Securities USA LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Michael? Claim Your Profile

About Michael Yao Chen

Michael Chen is a financial professional registered with FINRA. Chen has been in the industry since 1999 and is currently registered with Mizuho Securities USA LLC in New York, NY. Chen has prior experience with a number of other firms, including Morgan Stanley, UBS Securities LLC, and Prudential Securities Incorporated. Chen is a Series 7, Series 24 and Series 63 licensed representative. Chen has experience working with a wide range of clients, including individual investors, families, and businesses. Chen's expertise includes providing financial planning, investment management, and retirement planning services. Chen is committed to helping clients achieve their financial goals.

Firm Information

Michael Chen is currently registered with Mizuho Securities USA LLC. Mizuho Securities USA LLC is a Limited Liability Company formed in April 1994 and approved in all 50 states, the District of Columbia, and Puerto Rico. The firm is registered with the SEC and has been subject to 13 Regulatory Events and 1 Civil Event.

Not reported

Assets Under Management

Not reported

Total Clients

535

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Michael Chen’s Registration & Firm History

NY

03/24/2021 - Present

Mizuho Securities USA LLC (NEW YORK NY)

NY

10/29/2014 - 03/23/2021

MIZUHO SECURITIES USA LLC (NEW YORK NY)

NY

06/01/2009 - 06/28/2013

MORGAN STANLEY (PURCHASE NY)

NY

01/30/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NJ

07/14/2006 - 10/05/2007

UBS SERVICES USA LLC (WEEHAWKEN NJ)

CA

03/21/2005 - 07/12/2006

UBS SECURITIES LLC (MISSION VIEJO CA)

NJ

10/01/2000 - 03/10/2004

UBS SERVICES USA LLC (WEEHAWKEN NJ)

NY

05/05/1998 - 09/22/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NE

07/05/1996 - 01/22/1998

NATIONAL DISCOUNT BROKERS (OMAHA NE)

NJ

01/05/1996 - 06/25/1996

INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)

NY

03/05/1996 - 03/06/1996

INVESTEX SECURITIES GROUP, INC. (NEW YORK NY)

CO

10/24/1994 - 02/06/1995

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

Not sure if Michael Yao Chen is right for you?

Licenses & Designations

BC

Issued 10/20/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/21/1998

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/01/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael Yao Chen.
Not sure if Michael Yao Chen is right for you?