Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy M. Chen is a financial advisor with over 25 years of experience in the industry. Judy is currently registered with Morgan Stanley and has held previous positions with UBS Financial Services Inc., Wachovia Securities, LLC, and Prudential Securities Incorporated. Judy is a Series 7, Series 63, and Series 65 licensed advisor, as well as a SIE exam holder. Judy has worked in the New York area for most of her career, and holds registrations in 13 states.
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
06/22/2021 - Present
Morgan Stanley (New York NY)
NY
07/15/2005 - 10/22/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
MO
07/01/2003 - 07/18/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/04/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 01/12/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/1995
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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