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Xuan Chen

Hold Brothers Capital LLC

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About Xuan Chen

Xuan Chen is a securities professional with experience in the financial services industry. Xuan is currently registered with Hold Brothers Capital LLC and holds the Series 7, Series 99, Series 57, and SIE licenses. Xuan has been active in the industry since December 18, 2023.

Firm Information

Xuan Chen is currently registered with Hold Brothers Capital LLC. Hold Brothers Capital LLC is a Limited Liability Company that was formed on May 4, 2009. The firm is registered in California, Florida, Nevada, New Jersey, New York, and Texas, and has 1 approved SEC registration and 6 approved state registrations. The firm has reported 3 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

34

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.

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Xuan Chen’s Registration & Firm History

NY

12/18/2023 - Present

Hold Brothers Capital LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/27/2024

Series 57TO - Securities Trader Exam

BC

Issued 06/25/2024

Series 99TO - Operations Professional Examination

BC

Issued 12/18/2023

Series 7TO - General Securities Representative Examination

BC

Issued 09/07/2023

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Xuan Chen.
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