Judy K. Chia
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Judy K Chia was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1985. Judy had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 28, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2008 - January 6, 2009
ACE DIVERSIFIED CAPITAL, INC.
March 30, 1992 - January 2, 2008
PRIME PACIFIC FINANCIAL CORPORATION
January 2, 1990 - May 1, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 19, 1985 - January 19, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 5/26/1992
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ACE DIVERSIFIED CAPITAL, INC.
CRD#: 41768 / SEC#: , 8-49555
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
