Takyen Chow
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.
Takyen Chow, who also goes by Irene Chow, Tak Yin Chow, was a registered financial professional .
Takyen is a previously registered financial professional and started their career in finance in 2007. Takyen had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2014 - April 18, 2019
LAZARD ASSET MANAGEMENT SECURITIES LLC
December 10, 2008 - August 23, 2011
NEUBERGER BERMAN BD LLC
September 24, 2008 - November 4, 2008
LEHMAN BROTHERS INC.
July 2, 2007 - June 5, 2008
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
Current Firm
LAZARD ASSET MANAGEMENT SECURITIES LLC
CRD#: 129119 / SEC#: , 8-66201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
