Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven k.? Claim Your ProfileSteven k. Chin is a registered representative with TD Securities (usa) LLC. Steven k. Chin has been in the industry since March 12, 2005. Steven k. Chin has passed the Series 7, 63, 86, and 87 exams. Prior to joining TD Securities (usa) LLC, Steven k. Chin worked at Cowen and Company and UBS Securities LLC. Steven k. Chin is currently registered in California and New York.
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.
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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CA
04/11/2024 - Present
TD Securities (usa) LLC (SAN FRANCISCO CA)
NY
03/07/2024 - 04/11/2024
TD SECURITIES (USA) LLC (NEW YORK NY)
CA
04/11/2018 - 04/11/2024
COWEN AND COMPANY (San Francisco CA)
CA
11/01/2004 - 11/30/2017
UBS SECURITIES LLC (SAN FRANCISCO CA)
BC
Issued 01/13/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 01/21/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/28/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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