Josephine Chien

CHIEN, JOSEPHINE

Emeryville, CA

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CRD#: 4597758

Professional summary

Josephine Chien, who also goes by Josephine Chein, Josephine Yi-fen Chien, is a registered financial advisor currently at CHIEN, JOSEPHINE located in Emeryville, California.

Josephine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Josephine has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josephine Chein | Josephine Yi-Fen Chien

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.

JOSEPHINE CHIEN, NOT INVESTMENT RELATED. ADDRESS: 5514 DOYLE STREET, SUITE 6, EMERYVILLE, CA 94608. SMALL BUSINESS CONSULTING PRACTICE. PROPRIETOR/PRINCIPAL. START DATE: 6/2010, 40 HOURS/MONTH DEVOTED TO OTHER BUSINESS, 20 HOURS/MONTH DURING TRADING HOURS. DUTIES INCLUDE ADMINISTRATION, SOLICITATION OF CLIENTS, ENGAGEMENT, RESEARCH, ANALYSIS, PRESENTATIONS, RECOMMENDATIONS, IMPLEMENTATION, AND FOLLOW-UP IN MATTERS RELATED TO SMALL BUSINESS PLANNING, MANAGEMENT AND OPERATIONS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josephine Chien's 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

February 24, 2010 - Present

CHIEN, JOSEPHINE

RIA

CRD#: 131238

Emeryville, CA

Past

November 11, 2002 - December 10, 2002

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/24/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/8/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CHIEN, JOSEPHINE

CRD#: 131238 / SEC#:

California

Registered Investment Advisory firm - (2/24/2010 Approved)

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Contact information

Main Address

Orinda, CA

Mailing Address

Phone number

(510) 410-8152

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Josephine Chien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Josephine Chien's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHIEN, JOSEPHINE

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2004

Series 63

Date: 11/1/2002

Series 6

Date: 11/8/2002

Current Firm

CHIEN, JOSEPHINE

Contact information

Documents

Red Flags

Company Information

CHIEN, JOSEPHINE

TRUST BUT VERIFY

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