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Edward Then

National Financial Services LLC

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About Edward Then

Edward Then is a financial professional with over 20 years of experience in the industry. Edward is currently registered with National Financial Services LLC. Previously Edward has been registered with firms such as Citigroup Global Markets Inc., NYLIFE Distributors Inc. and NYLIFE Securities Inc. Edward holds the Series 6, 7, and 63 licenses as well as the SIE. Edward is registered in 53 states and the District of Columbia.

Firm Information

Edward Then is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Edward Then’s Registration & Firm History

NY

04/13/2009 - Present

National Financial Services LLC (NEW YORK CITY NY)

NY

08/22/2005 - 03/23/2009

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NJ

01/01/1994 - 09/15/2000

NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)

NY

11/19/1993 - 01/01/1994

NYLIFE SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/14/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/19/2005

Series 7 - General Securities Representative Examination

BC

Issued 11/18/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Edward Then.
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