Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cora? Claim Your ProfileCora Chan is a financial professional with over 27 years of experience in the industry. She is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. Cora Chan also has previous experience with BANC OF AMERICA INVESTMENT SERVICES, INC., BA INVESTMENT SERVICES, INC. and SEAFIRST INVESTMENT SERVICES, INC. Cora Chan holds the following licenses: Series 6, Series 7, Series 63, and Series 65. Cora Chan is also licensed in Washington and Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WA
10/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
12/19/2000 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (BELLEVUE WA)
MA
07/12/1999 - 01/10/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
07/01/1998 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
04/10/1995 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
IA
Issued 12/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/07/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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