Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joe? Claim Your ProfileJoe T Chan has been in the financial services industry since July 2011. Joe is currently a registered representative with Oppenheimer & Co. Inc. Joe has also been registered as an investment advisor representative with Oppenheimer & Co. Inc. since January 2015. Joe's previous experience includes a role with UBS Financial Services Inc., where Joe was registered from July 2011 to January 2015. Joe is a licensed broker and investment advisor in 24 states. Joe T Chan provides financial planning, pension consulting, selection of other advisors and portfolio management for individuals 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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
01/20/2015 - Present
Oppenheimer & Co. Inc. (LOS ANGELES CA)
CA
07/27/2011 - 01/28/2015
UBS FINANCIAL SERVICES INC. (CENTURY CITY CA)
BOTH
Issued 09/27/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/04/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2011
Series 7 - General Securities Representative Examination
Active
Inactive
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
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