Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Chan is a financial advisor with over 11 years of experience in the industry. Carol is registered with Pimco Investments LLC in Newport Beach, CA and is licensed to sell securities in 53 states and jurisdictions. Carol has passed the Series 66, Series 7 and SIE exams. Carol is active in the broker-dealer and investment advisor space.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CA
04/04/2011 - Present
Pimco Investments LLC (NEWPORT BEACH CA)
BOTH
Issued 05/23/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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