Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Chan is a financial professional with over 17 years of experience in the financial services industry. Currently, Judy is registered with Morgan Stanley as a Financial Advisor. Previously, Judy was affiliated with WELLS FARGO SECURITIES, LLC, BMO CAPITAL MARKETS CORP. and KEEFE, BRUYETTE & WOODS, INC. Judy has a strong background in providing investment advice and financial planning to individual and institutional clients. Judy holds a Series 7, Series 24, Series 63, Series 16, Series 87, Series 99TO, Series 79TO, and SIE 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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
11/16/2021 - Present
Morgan Stanley (Purchase NY)
NY
11/23/2016 - 11/17/2021
WELLS FARGO SECURITIES, LLC (NEW YORK NY)
NY
03/17/2006 - 11/11/2016
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
NY
08/05/2004 - 10/31/2005
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
BC
Issued 09/22/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2016
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 02/07/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 07/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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