Kai Chen
Investment Adviser Representative at OCEANIQ CAPITAL, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kai Chen has worked in the securities industry since 2003. They have passed the Series 82, 79, 66, 63, and 7 examinations. They are registered to provide investment advisory services in California.
Registrations & licenses
Approximate fees
Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
| Asset tier | Annual rate |
|---|---|
| Under $5,000,000 | 1.00% |
| $5,000,000 to $25,000,000 | 0.50% |
| Over $25,000,000 | 0.35% |
Firm-stated minimum; may be waived at the firm's discretion.
Oceaniq Capital, LLC Form ADV Part 2A (Item 5), most recent annual amendment.
Employment history
Registration history as reported to FINRA, most recent first.
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Other advisors at OCEANIQ CAPITAL, LLC
4 other advisors in the directory
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kai Chen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched