Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lien? Claim Your ProfileLien Lay is a financial advisor with over 15 years of experience in the industry. Lien is registered with J.P. Morgan Securities LLC and has been with the firm since 2012. Lien holds Series 7 and Series 63 licenses as well as the SIE exam and the Series 65. Lien is also a Certified Financial Planner. Lien is a registered investment advisor in California and Texas. Lien has previously worked with Chase Investment Services Corp. and BANC of America Investment Services, Inc. Lien works with individuals, high-net-worth individuals, corporations, pension and profit-sharing plans, insurance companies, charitable organizations and labor unions.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
12/04/2013 - Present
J.p. Morgan Securities LLC (ALAMEDA CA)
CA
05/14/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (ALAMEDA CA)
CA
09/29/2008 - 03/26/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
TX
10/26/2005 - 08/27/2008
CHASE INVESTMENT SERVICES CORP. (HOUSTON TX)
IA
Issued 01/14/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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