Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Angel? Claim Your ProfileAngel Chen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Angel has been in the industry since 2000 and has a broad range of experience serving individual and institutional clients. Angel has Series 7, 9, 10, 24, 52, 53, 63 and 65 licenses and is registered to conduct business in 53 states and Washington, D.C. Angel is also a registered investment advisor representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
04/30/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALO ALTO CA)
CA
07/14/2016 - 09/16/2019
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
09/05/2013 - 07/25/2016
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
NY
08/17/2010 - 09/12/2013
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/05/2009 - 04/06/2010
KW SECURITIES CORPORATION (SELDEN NY)
CA
02/14/2008 - 03/19/2008
REDWOOD SECURITIES GROUP, INC. (SAN FRANCISCO CA)
CA
08/23/2007 - 11/29/2007
REDWOOD SECURITIES GROUP, INC. (SAN FRANCISCO CA)
CA
02/27/2007 - 07/31/2007
REDWOOD SECURITIES GROUP, INC. (SAN FRANCISCO CA)
CA
08/05/2003 - 08/04/2005
UCB INVESTMENT SERVICES, INC. (MONTEREY PARK CA)
NY
05/05/2000 - 07/08/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CO
02/08/2000 - 05/19/2000
UNITED SECURITIES ALLIANCE, INC. (GREENWOOD VILLAGE CO)
IA
Issued 06/16/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/07/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/24/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/08/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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