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Theresa Marie Chen

Cambridge Investment Research, Inc.

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About Theresa Marie Chen

Theresa Marie Chen is a financial advisor at Cambridge Investment Research, Inc. She has been in the financial services industry since June 25, 1995. Theresa Marie Chen has worked for several other firms, including Berkshire, Fisher & Company Financial Services, Inc. Theresa Marie Chen is registered with FINRA and is licensed in Florida, Nevada, New York, North Carolina, and South Carolina. Theresa Marie Chen holds Series 6, 7, and SIE licenses.

Firm Information

Theresa Chen is currently registered with Cambridge Investment Research, Inc.. Cambridge Investment Research, Inc. is a corporation formed in October 1995. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

658

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.

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.

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Theresa Chen’s Registration & Firm History

FL

02/19/2019 - Present

Cambridge Investment Research, Inc. (Fort Lauderdale FL)

FL

11/26/2004 - 12/31/2018

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (DAVIE FL)

MA

05/21/2004 - 09/29/2004

MUTUAL SERVICE CORPORATION (BOSTON MA)

IA

06/24/1999 - 12/31/2002

LOCUST STREET SECURITIES, INC. (DES MOINES IA)

OR

07/28/1998 - 06/22/1999

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

FL

09/27/1996 - 09/17/1998

PREFERRED SECURITIES GROUP, INC. (BOCA RATON FL)

NC

07/03/1995 - 11/08/1995

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

CA

02/21/1995 - 07/05/1995

ESSEX NATIONAL SECURITIES, INC. (NAPA CA)

NA

08/03/1993 - 06/01/1995

INDEPENDENT FINANCIAL SECURITIES, INC.

OR

10/30/1992 - 06/30/1993

MARKETING ONE SECURITIES, INC. (PORTLAND OR)

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Licenses & Designations

BC

Issued 04/27/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/07/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/29/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Theresa Marie Chen. Review regulatory record here.
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