linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Kelvern Chen

Northwestern Mutual Investment Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Kelvern? Claim Your Profile

About Kelvern Chen

Kelvern Chen is a financial professional with over 8 years of experience in the financial services industry. Kelvern has held positions at several firms, including TD Ameritrade, Santander Securities, and CommunityAmerica Financial Solutions. Currently, Kelvern is a Registered Representative with Northwestern Mutual Investment Services, LLC, providing investment advice and services. Kelvern holds a Series 6, 7, and 66 license.

Firm Information

Kelvern Chen is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998 and based in Milwaukee, Wisconsin. The firm offers investment research, referrals to other advisors, and acts as an investment advisor, providing advisory services to various client types, including individuals, corporations, and insurance companies. They are registered with the SEC and in all 50 states, boasting a large network of licensed agents, investment advisor representatives, and registered representatives. The firm has been involved in several regulatory events and one arbitration disclosure.
Northwestern Mutual Investment Services, LLC

1 Battery Park Plaza

New York, NY 10004

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

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.

check

investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

other

Referral fees

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Kelvern Chen’s Registration & Firm History

NY

09/17/2021 - Present

Northwestern Mutual Investment Services, LLC (New York NY)

NY

07/23/2020 - 07/14/2021

TD AMERITRADE, INC. (NEW YORK NY)

NY

03/13/2019 - 07/07/2020

SANTANDER SECURITIES LLC (BROOKLYN NY)

NY

04/30/2018 - 01/18/2019

COMMUNITYAMERICA FINANCIAL SOLUTIONS, LLC (New York NY)

NY

05/20/2016 - 05/01/2018

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NY

07/23/2015 - 05/04/2016

TD AMERITRADE, INC. (FOREST HILLS NY)

NJ

09/15/2014 - 07/16/2015

NATIONAL PLANNING CORPORATION (EAST BRUNSWICK NJ)

Not sure if Kelvern Chen is right for you?

Licenses & Designations

BOTH

Issued 7/30/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/29/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/4/2015

Series 7 - General Securities Representative Examination

BC

Issued 9/15/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Kelvern Chen. Review regulatory record here.
Not sure if Kelvern Chen is right for you?