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Si Chen

Clsa Americas, LLC

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About Si Chen

Si Chen is a financial professional with over 10 years of experience in the securities industry. Si Chen is registered with Clsa Americas, LLC and currently holds the Series 6, 7, 24, 63 and 66 licenses. Si Chen previously worked at CITIC SECURITIES INTERNATIONAL USA, LLC and CICC US SECURITIES, INC.. Si Chen has a background in investment banking and equity research. Si Chen currently resides in New York City and is a licensed real estate agent.

Firm Information

Si Chen is currently registered with Clsa Americas, LLC. Clsa Americas, LLC is a Limited Liability Company formed on August 15, 2012. The firm is registered as an investment adviser in 53 states and the District of Columbia. Clsa Americas, LLC provides referrals to others, research product & arrangement and referral services. The firm has 117 clients that are other investment advisers.

Not reported

Assets Under Management

119

Total Clients

11

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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referrals to others; research product & arrangement and referral service

Referrals to others; research product & arrangement and referral service

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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commissions

Earned based on transactions or products sold.

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other

Negotiated rates for research product

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Si Chen’s Registration & Firm History

NY

02/06/2019 - Present

Clsa Americas, LLC (NEW YORK NY)

NY

03/26/2012 - 06/01/2017

CITIC SECURITIES INTERNATIONAL USA, LLC (New York NY)

NY

01/04/2011 - 08/03/2011

CICC US SECURITIES, INC. (NEW YORK NY)

NY

10/13/2009 - 01/04/2010

HSBC SECURITIES (USA) INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 02/06/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/22/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/18/2019

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/03/2011

Series 7 - General Securities Representative Examination

BC

Issued 10/12/2009

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Si Chen.
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