Kai Chen is a registered investment advisor, based in Redwood City, CA, with 23 years of industry experience.
Location
275 Shoreline Drive, Unit 120, Redwood City, CA, 94065
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Regulatory History (2)
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Regulatory
December 2016Final
Employment Separation After Allegations
October 2013Other Business Activities
Kai is a board member for Fresh Lifelines for Youth, a non-profit, and a Principal/Managing Member at Oceaniq Capital, LLC, an SEC registered investment advisor, dedicating about a quarter of their time. Kai also serves as an administrative manager for Multidimensional Angel Group LLC, spending minimal time on this activity.
Employment History
Current Registrations
Fnex Capital, LLCBroker
June 2025 - Present · 11 mos
Fnex Capital, LLC
June 2025 - Present · 11 mos
Oceaniq Capital, LLC
December 2020 - Present · 5 yrs 5 mos
Previous Registrations
S F Sentry Securities, INC.Broker
October 2013 - July 2015 · 1 yr 9 mos
Oceaniq Capital, LLC
October 2013 - December 2018 · 5 yrs 2 mos
Credit Suisse Securities (USA) LLC
January 2003 - November 2013 · 10 yrs 10 mos
Credit Suisse Securities (USA) LLCBroker
January 2003 - November 2013 · 10 yrs 10 mos
Donaldson Lufkin & Jenrette Securities Corporation
August 2002 - January 2003 · 5 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
February 2001 - January 2003 · 1 yr 11 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.