Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Grace? Claim Your ProfileGrace Gaoaen is a financial professional with over 38 years of experience in the securities industry. Grace is currently registered with Bofa Securities, Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Grace has held previous positions at BANC OF AMERICA SECURITIES LLC, PIPER JAFFRAY & CO., WOLFE & HURST BOND BROKERS INC., A. G. EDWARDS & SONS, INC., THOMSON MCKINNON SECURITIES INC., and MORGAN STANLEY & CO., INCORPORATED. Grace holds FINRA Series 7, Series 52TO, and SIE licenses as well as a Series 63 license. Grace is registered to conduct securities business in all 50 states, as well as Puerto Rico and the Virgin Islands.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
CA
11/13/2018 - Present
Bofa Securities, Inc. (SAN FRANCISCO CA)
CA
10/28/2005 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (SAN FRANCISCO CA)
MN
08/31/2004 - 10/14/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NJ
01/07/2003 - 05/17/2004
WOLFE & HURST BOND BROKERS INC. (JERSEY CITY NJ)
MO
08/05/1989 - 08/22/2002
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/26/1988 - 08/01/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NY
08/21/1984 - 01/18/1988
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 03/24/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/1984
Series 7 - General Securities Representative Examination
Active
Inactive
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
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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