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Yi Chen

H.c.wainwright & CO., LLC

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About Yi Chen

Yi Chen is a financial advisor with over 10 years of experience in the industry. Yi currently works at H.c.wainwright & Co., LLC and previously worked at AEGIS CAPITAL CORP. and MORGAN JOSEPH TRIARTISAN LLC. Yi holds the Series 7, Series 24, Series 63, Series 87, and SIE licenses. Yi is registered to conduct business in New York.

Firm Information

Yi Chen is currently registered with H.c.wainwright & CO., LLC. H.c.wainwright & CO., LLC is a Limited Liability Company that was formed in April 2013. They are registered to conduct business in all 50 U.S. states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

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.

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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Yi Chen’s Registration & Firm History

NY

02/17/2015 - Present

H.c.wainwright & CO., LLC (NEW YORK NY)

NY

03/12/2012 - 03/03/2015

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

08/01/2011 - 03/16/2012

MORGAN JOSEPH TRIARTISAN LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/12/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/22/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/02/2011

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/29/2011

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Yi Chen.
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