Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Una? Claim Your ProfileUna Chen is an active investment advisor representative with J.p. Morgan Securities LLC in New York, NY. Una has been in the industry since 2009 and holds multiple licenses including Series 6, 7, and 66. In addition to her role at J.p. Morgan Securities LLC, Una has also worked at CHASE INVESTMENT SERVICES CORP. and FIRST INVESTORS CORPORATION. Una is registered with FINRA, and is licensed in several states, including Alabama, Arizona, California, Connecticut, Delaware, Florida, Illinois, Kentucky, Maryland, Massachusetts, Michigan, Mississippi, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Texas, Washington, Wisconsin, and Wyoming. Una Chen specializes in portfolio management for individuals and businesses, as well as financial planning.
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
NY
04/06/2023 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
05/11/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
06/17/2009 - 05/03/2010
FIRST INVESTORS CORPORATION (WESTBURY NY)
BOTH
Issued 12/29/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/2017
Series 7 - General Securities Representative Examination
BC
Issued 06/16/2009
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
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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