Grace S. Chen
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.
Grace Shutze Chen, who also goes by Grace Shu Tze Chen, was a registered financial professional .
Grace is a previously registered financial professional and started their career in finance in 1990. Grace had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2011 - August 17, 2012
NI ADVISORS
June 15, 2007 - April 30, 2009
NI ADVISORS
June 29, 2005 - August 17, 2006
METROPOLITAN LIFE INSURANCE COMPANY
June 29, 2005 - August 17, 2006
MSI FINANCIAL SERVICES, INC.
August 2, 2004 - November 24, 2004
EQUITABLE ADVISORS, LLC
December 20, 2002 - August 17, 2004
MONY SECURITIES CORPORATION
July 8, 2002 - December 31, 2002
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 27, 2001 - August 5, 2002
OSAIC FS, INC.
September 22, 2000 - March 26, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 22, 2000 - March 26, 2001
MSI FINANCIAL SERVICES, INC.
July 22, 1999 - February 22, 2000
WMA SECURITIES, INC.
May 9, 1995 - March 14, 2000
MONY SECURITIES CORPORATION
August 6, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 6, 1990 - February 19, 1995
PRUCO SECURITIES, LLC.
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
Current Firm
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory Event | 1 |
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.
