Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Xiaoxiao? Claim Your ProfileXiaoxiao Chen is a registered investment advisor representative with Citigroup Global Markets Inc. Xiaoxiao has been in the securities industry for 5 years. Xiaoxiao is also a registered investment advisor. Previously, Xiaoxiao worked at LPL Financial LLC. Xiaoxiao has passed the Series 63, Series 65, SIE and Series 7 exams. Xiaoxiao has an active Series 63 and Series 65 license in the state of California. Xiaoxiao has a total of 25 approved SRO registrations, 1 approved FINRA registration, and 1 approved state registration.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
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2
CA
08/07/2024 - Present
Citigroup Global Markets Inc. (San Lorenzo CA)
CA
04/24/2020 - 04/19/2024
CITIGROUP GLOBAL MARKETS INC. (San Francisco CA)
CA
01/19/2019 - 05/21/2020
LPL FINANCIAL LLC (SAN FRANCISCO CA)
IA
Issued 12/12/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/2019
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2018
Series 7TO - General Securities Representative Examination
Active
Inactive
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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
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