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Fan Chen

Maxim Financial Advisors LLC

New York, NY

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Current Employers
Maxim Financial Advisors Llc

300 Park Ave 16Th Fl, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-07
  • NY RA
    APPROVED
    Since 2021-08-07

Branch Locations

300 Park Ave 16Th Fl, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Legend Securities, Inc. New York NY 02/2016 09/2016
Westpark Capital Inc. New York NY 09/2016 06/2018
China Ginseng Holdings,Inc Changchun City, China NY 05/2010 03/2017
Bio Pharmaceuticals, Inc Xianyang, China NY 01/2018 Present
Four Points Capital Partners Llc New York NY 08/2018 Present
Murdock Capital Partners Corp New York NY 08/2018 Present
  • 02/2016 → 09/2016
    Legend Securities, Inc.
    New York, NY
  • 09/2016 → 06/2018
    Westpark Capital Inc.
    New York, NY
  • 05/2010 → 03/2017
    China Ginseng Holdings,Inc
    Changchun City, China, NY
  • 01/2018 → Present
    Bio Pharmaceuticals, Inc
    Xianyang, China, NY
  • 08/2018 → Present
    Four Points Capital Partners Llc
    New York, NY
  • 08/2018 → Present
    Murdock Capital Partners Corp
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-31
S63 Uniform Securities Agent State Law Examination 2015-05-26
  • S65 Uniform Investment Adviser Law Examination
    2019-05-31
  • S63 Uniform Securities Agent State Law Examination
    2015-05-26
Other Names
  • Melissa Chen

View on SEC IAPD

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