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Shiou-Yean Chen

Citigroup Global Markets Inc.

Milpitas, CA

Los Angeles, CA

San Jose, CA

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-28
CA RA APPROVED 2008-04-14
  • TX RA
    APPROVED_RES
    Since 2025-05-28
  • CA RA
    APPROVED
    Since 2008-04-14

Branch Locations

Cwm Retail, Sales 5 North Milpitas Blvd., Milpitas, CA 95035 • United States

Citi Wealth Management, Sales 300 South Grand Avenue, Fl 31, Los Angeles, CA 90071 • United States

San Jose, CA • 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
Citigroup Global Markets Inc. Milpitas CA 05/2007 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-11
S63 Uniform Securities Agent State Law Examination 2005-08-10
  • S65 Uniform Investment Adviser Law Examination
    2008-04-11
  • S63 Uniform Securities Agent State Law Examination
    2005-08-10
Other Names
  • Emily Chen

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Milpitas, CA
CETERA INVESTMENT ADVISERS LLC · MILPITAS, CA
NI ADVISORS · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
INDEPENDENT FINANCIAL GROUP, LLC · Milpitas, CA
U.S. BANCORP ADVISORS, LLC · Milpitas, CA
CITIGROUP GLOBAL MARKETS INC. · Milpitas, CA

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