Plattsburgh, N.Y. – Akemi Chen, junior research analyst at Clute Wealth Management, recently passed the Representative Exam, which earned her General Securities license.
The “Series 7” license, as it is known, is the most comprehensive of several securities licenses and allows an agent to communicate with investors as a registered sales assistant. The test is owned by the New York Stock Exchange and administered by the Financial Industry Regulatory Authority (FINRA).
Chen was born in Japan and moved to Plattsburgh, N.Y., in August 1995. She holds a degree from State University of New York at Plattsburgh and has worked for Clute Wealth Management for almost 10 years.
Clute Wealth Management, with offices in Plattsburgh and So. Burlington, Vt., is an independent firm and Registered Investment Advisor providing strategic financial and investment planning for individuals and small businesses in the Champlain Valley region of New York and Vermont. As a Registered Investment Advisor, Clute Wealth Management can act in a fiduciary capacity, has additional disclosure requirements and can provide discretionary or nondiscretionary services.
Securities and fee-based asset management are offered through LPL Financial, a Registered Investment Advisor and Member FINRA/SIPC. LPL Financial is an independent broker-dealer, and does not sell or market proprietary products or securities.