Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Chan is a financial advisor with Citigroup Global Markets Inc., a firm with over 11,754 clients and more than $50 billion in assets under management. David has been in the industry since 1996 and has a wide range of experience, having worked with a number of firms prior to joining Citigroup Global Markets Inc.. David holds the Series 7, 9, 10, 24, 26, and 66 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
NJ
05/09/2017 - Present
Citigroup Global Markets Inc. (Fort Lee NJ)
NJ
07/08/2015 - 05/09/2017
SANTANDER SECURITIES LLC (Florham Park NJ)
PA
05/02/2013 - 06/26/2015
M&T SECURITIES, INC. (ALLENTOWN PA)
NY
06/12/2012 - 04/26/2013
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NJ
02/14/2012 - 05/25/2012
CAPITAL ONE INVESTMENT SERVICES LLC (WEST NEW YORK NJ)
NY
03/25/2009 - 01/09/2012
HSBC SECURITIES (USA) INC. (WOODSIDE NY)
NJ
09/09/2008 - 03/18/2009
LPL FINANCIAL CORPORATION (UNION NJ)
NY
07/01/2008 - 09/02/2008
ESSEX NATIONAL SECURITIES, INC. (STATEN ISLAND NY)
NJ
06/25/2004 - 06/27/2008
PNC INVESTMENTS (POMPTON PLAINS NJ)
CA
03/23/2004 - 06/24/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
PA
01/01/2004 - 03/17/2004
PNC INVESTMENTS (PITTSBURGH PA)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
09/24/2001 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
NY
04/16/2001 - 09/25/2001
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
NY
10/03/2000 - 03/28/2001
BLUESTONE CAPITAL SECURITIES, INC. (NEW YORK NY)
NY
08/26/1998 - 10/25/2000
KAUFMAN BROS., L.P. (NEW YORK NY)
NY
03/21/1997 - 06/12/1998
WEATHERLY SECURITIES CORPORATION (NEW YORK NY)
NY
05/01/1996 - 03/20/1997
ROAN CAPITAL PARTNERS L.P. (NEW YORK NY)
BOTH
Issued 03/10/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/08/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/02/2016
Series 24 - General Securities Principal Examination
BC
Issued 02/12/2015
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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