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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Chen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with over $1 trillion in assets under management. Eric has been in the industry since 2005 and is registered in 17 states. Eric specializes in investments, and has experience with a variety of client types including individuals, businesses, and institutions. Eric has experience in the financial services industry including Merrill Lynch, Pierce, Fenner & Smith Inc. and Bank of America, N.A. Eric holds Series 3, 6, 7, 63 and 65 licenses.
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
03/12/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (IRVINE CA)
CA
11/30/2006 - 10/31/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (PALO ALTO CA)
NY
08/16/2005 - 06/07/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/09/2005 - 07/25/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 10/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/14/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2005
Series 7 - General Securities Representative Examination
BC
Issued 03/08/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/10/2004
Series 3 - National Commodity Futures 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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