Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Jiwoong Chae is a financial professional who has been active in the industry since November 24, 2006. James is currently registered with Prudential Investment Management Services LLC. James was previously registered with Goldman Sachs & Co. LLC, BANC of America Securities LLC, and HSBC Securities (USA) Inc. James is licensed in 51 states and the District of Columbia. James has passed the Series 63, SIE, Series 7 and Series 6 exams. James has extensive experience in the financial services industry.
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.
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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NJ
03/11/2020 - Present
Prudential Investment Management Services LLC (NEWARK NJ)
NY
03/25/2008 - 03/03/2020
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
02/05/2008 - 03/10/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
11/15/2005 - 02/15/2007
HSBC SECURITIES (USA) INC. (BROOKLYN NY)
BC
Issued 12/05/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2010
Series 7 - General Securities Representative Examination
BC
Issued 11/14/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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