Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erika? Claim Your ProfileErika Chan is a registered investment advisor representative with UBS Financial Services Inc. Erika is also a registered investment advisor representative in the state of Texas. Erika has been in the financial services industry since 2013 and has worked at both Wells Fargo Clearing Services, LLC and UBS Financial Services Inc. Erika has passed the Series 6, 7, 63, and 65 exams. Erika is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Erika specializes in providing financial planning, portfolio management, and other investment advisory services to individuals, families, and businesses.
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.
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.
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.
See schedule d - miscellaneous
1
2
CA
10/21/2022 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
04/16/2019 - 10/28/2022
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
10/22/2012 - 04/12/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
IA
Issued 10/18/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/12/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/19/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Erika Chan is the right advisor for you? Invested Better is here to help.
