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LJ

Lynnwood Jen

ACE DIVERSIFIED CAPITAL
San Gabriel, CA 91776
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CRD#: 2198343
LJ

Professional summary


Lynnwood Jen is a registered financial professional currently at ACE DIVERSIFIED CAPITAL, INC. located in San Gabriel, California.

Lynnwood is registered as a RR (Registered Representative) and started their career in finance in 1995. Lynnwood has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

Other business activities


Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Lynnwood Jen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

July 8, 1997 - Present

ACE DIVERSIFIED CAPITAL, INC.

Office #1: 923 East Valley Blvd., Suite 213, San Gabriel, CA 91776Office #2: 3600 Wilshire Blvd. Suite 2035, Los Angeles, CA 90010
BD
CRD#: 41768
San Gabriel, CA
Past

April 3, 1995 - July 2, 1997

U. S. PACIFIC FINANCIAL SERVICES, INC.

BD
CRD#: 17423
ALHAMBRA, CA
Past

March 9, 1995 - March 30, 1995

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/12/1997)

Exams


State Security Law Exam
IAR
Series 65
Date: 4/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/26/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm


AD
ACE DIVERSIFIED CAPITAL, INC.
ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768 / SEC#: , 8-49555

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information


Main Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Mailing Address
923 East Valley Blvd., Suite 213, San Gabriel,, CA 91776
Phone number
(626) 307-8300
Established
California since 07/31/1996
Firm type
Corporation
Fiscal year end
July
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)


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Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
JEN, LYNNWOODCEO, CCO2198343
JEN, LYNNWOODPFO, POO2198343
TIEN, SHYUEWEN GEORGEFINOP, CFO1941281

Disclosures


Regulatory Event2

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.

Company Information


ACE DIVERSIFIED CAPITAL, INC.

CRD#: 41768San Gabriel, CA 91776

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