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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Marion Then has been in the financial industry since 1984 and has a combined total of 48 years of experience in both Broker-Dealer and Investment Advisor roles. Currently, Judy Marion Then is a Registered Representative at Morgan Stanley. Previously, Judy Marion Then has worked at UBS FINANCIAL SERVICES INC., WACHOVIA SECURITIES, LLC, PRUDENTIAL SECURITIES INCORPORATED, SG COWEN SECURITIES CORPORATION, COWEN & CO., ROYAL ALLIANCE ASSOCIATES, INC., INTEGRATED RESOURCES EQUITY CORPORATION and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Judy Marion Then has passed several industry exams including the Series 7 and the Series 63 exams as well as the Securities Industry Essentials Examination (SIE). Judy Marion Then specializes in providing investment advice to individuals, businesses, and other investment companies. Judy Marion Then is a member of the Lafayette Place Owners Corp. board of directors.
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
04/16/2012 - Present
Morgan Stanley (New York NY)
NY
08/27/2004 - 06/04/2010
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
MO
07/01/2003 - 08/26/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/27/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/01/1998 - 07/20/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
08/10/1989 - 07/01/1998
COWEN & CO. (NEW YORK NY)
AZ
11/19/1989 - 03/26/1990
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
03/03/1989 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
06/21/1984 - 09/02/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 11/10/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1984
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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