Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Arthur? Claim Your ProfileArthur Chen is a financial advisor with over 27 years of experience in the industry. Arthur is currently registered with MML Investors Services, LLC in California. Arthur has previously held positions with Pruco Securities, LLC., Park Avenue Securities LLC, and Maia Securities, Inc., among others. Arthur holds several licenses including Series 7, 24, 63, and 65. Arthur offers financial planning services, as well as portfolio management for both individuals and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
CA
10/14/2024 - Present
MML Investors Services, LLC (ARCADIA CA)
CA
07/16/2013 - 12/31/2022
MML INVESTORS SERVICES, LLC (CITY OF INDUSTRY CA)
CA
07/19/2012 - 06/06/2013
PARK AVENUE SECURITIES LLC (DIAMOND BAR CA)
CA
11/19/2002 - 07/02/2012
PRUCO SECURITIES, LLC. (CITY OF INDUSTRY CA)
CA
04/01/2002 - 11/12/2002
MAIA SECURITIES, INC. (YORBA LINDA CA)
NY
08/01/2000 - 03/28/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
FL
05/02/2000 - 07/28/2000
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CA
12/09/1997 - 05/01/2000
THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)
CA
12/06/1996 - 12/22/1997
CAPITAL INVESTMENT EXCHANGE, INC. (SAN FRANCISCO CA)
IA
Issued 09/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/21/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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