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Yun-ying Chien

CRD# 2349701·Registered 1993 - 2021
Previously Registered: Being a previously registered professional could mean that Yun-ying 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.

Professional Summary

Yun-ying Chien, who also goes by Yun Ying Chien, Yunying Chien, was a registered financial advisor. Yun-ying was a previously registered financial professional and started their career in finance 1993 - 2021. Yun-ying had worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 27 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Yun Ying Chien, Yunying Chien

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

33 years in the financial services industry

Current & Past Employments

FINANCIAL SCIENCES, INC.·CRD# 6653
BD
Boston, MA
October 6, 1993 - December 31, 2021

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Current Firm

FS
FINANCIAL SCIENCES, INC.

FINANCIAL SCIENCES, INC.

CRD#: 6653 / SEC#: 8-17925
BD
Terminated by SEC on 01/21/2022

Contact Information

Established

Massachusetts since 01/05/1974

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
LIEN, MEI SHIENDIRECTOR, SHAREHOLDER1461855
LEE, LESLIE LIENPRESIDENT, CEO, SHAREHOLDER1546537
LIEN, LESTERDIRECTOR, SHAREHOLDER4862566
LIEN, LYNDONSHAREHOLDER—
CHIEN, YUN-YINGTREASURER, CFO, CCO2349701

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1993About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Oct 1995About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Aug 1993About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1995About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Mar 1994About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Dec 1993About the Series 4 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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