Hui Chen
Professional summary
Hui Chen, who also goes by Grace Chen, is a registered financial professional currently at UPMARKET SECURITIES LLC located in New York, New York.
Hui is registered as a RR (Registered Representative) and started their career in finance in 2019. Hui has worked at 2 firms and has passed the Series 63, Series 3, Series 7 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hui Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 2020 - Present
UPMARKET SECURITIES LLC
Office #1: 1325 Avenue Of The Americas #2819, New York, NY 10019May 31, 2019 - June 19, 2020
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
May 1, 2019 - May 9, 2019
UPMARKET SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/24/2020)
(11/24/2020)
(5/26/2021)
(6/18/2021)
(7/16/2020)
(2/3/2021)
(8/21/2020)
(5/17/2021)
(9/3/2021)
(12/17/2020)
(7/16/2020)
(4/24/2020)
(11/30/2020)
(12/15/2020)
(9/22/2020)
(10/14/2020)
(6/15/2021)
(7/2/2020)
(11/13/2023)
(4/24/2020)
Exams
FINRA
Current Firm
UPMARKET SECURITIES LLC
CRD#: 295634 / SEC#: , 8-70120
Contact information
FINRA licenses (37 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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