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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shiou-yean? Claim Your ProfileShiou-yean Chen is a financial professional with over 20 years of experience in the industry. Shiou-yean is registered as an Investment Advisor Representative with Citigroup Global Markets Inc. and has been with the firm since 2007. Prior to joining Citigroup Global Markets Inc., Shiou-yean Chen worked at CITICORP INVESTMENT SERVICES. Shiou-yean holds several licenses including Series 7, Series 63, Series 65, and Series 9. Shiou-yean is a licensed representative in 27 states and has been actively involved in the financial services industry since 2005. Shiou-yean specializes in portfolio management for individuals and businesses, providing asset allocation advice, financial planning, and pension consulting. Shiou-yean also provides security ratings and publishes periodicals.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
04/14/2008 - Present
Citigroup Global Markets Inc. (Milpitas CA)
CA
04/22/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (MILPITAS CA)
IA
Issued 04/11/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/24/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2007
Series 7 - General Securities Representative Examination
BC
Issued 04/20/2005
Series 6 - Investment Company Products/Variable Contracts 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
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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