AdFi
KC

Kai Chen

Investment Adviser Representative at OCEANIQ CAPITAL, LLC

INDIANAPOLIS, INCRD #2916984Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
1 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 4/14/2025
Series 66
Uniform Combined State Law Examination
Passed 11/3/2001
Series 82TO
Limited Representative-Private Securities Offerings
Passed 6/20/2025
SIE
Securities Industry Essentials Examination
Passed 4/14/2025
Series 79
Investment Banking Registered Representative Examination
Passed 5/15/2014
Series 7
General Securities Representative Examination
Passed 2/8/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

OCEANIQ Capital, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

FNEX CAPITAL, LLCCurrent
6/23/2025INDIANAPOLIS, IN
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
2/12/20011/17/2003JERSEY CITY, NJ
S F SENTRY SECURITIES, INC.
10/30/20137/2/2015SAN FRANCISCO, CA
CREDIT SUISSE SECURITIES (USA) LLC
1/17/200311/26/2013SAN FRANCISCO, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

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.

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