Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ka man? Claim Your ProfileKa man Chan is a registered representative with MML Investors Services, LLC. Ka man has been in the financial services industry since 1999. Ka man has experience in financial planning, portfolio management, and pension consulting. Ka man is also a registered investment advisor representative in California and Texas. Ka man holds the Series 63, Series 66 and Series 7 securities licenses as well as the SIE. Ka man is registered with MML Investors Services, LLC and TD Ameritrade, Inc., and has prior experience with Chase Investment Services Corp., WAMU Investments, Inc., Signator Investors, Inc., World Group Securities, Inc. and CitiCorp Investment Services.
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.
Asset allocation programs
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.
Solicitors fees
1
2
CA
04/03/2020 - Present
MML Investors Services, LLC (Pleasanton CA)
CA
10/07/2011 - 10/15/2019
TD AMERITRADE, INC. (WALNUT CREEK CA)
CA
05/02/2009 - 08/26/2010
CHASE INVESTMENT SERVICES CORP. (FREMONT CA)
CA
02/28/2008 - 05/02/2009
WAMU INVESTMENTS, INC. (MOUNTAIN VIEW CA)
CA
12/07/2007 - 02/25/2008
SIGNATOR INVESTORS, INC. (WALNUT CREEK CA)
GA
04/22/2005 - 12/31/2005
WORLD GROUP SECURITIES, INC. (DULUTH GA)
NY
02/04/2003 - 06/04/2003
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
TX
08/23/1999 - 12/04/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 11/21/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/03/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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