linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Ka Wai Chan

Capital Client Group, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Ka? Claim Your Profile

About Ka Wai Chan

Ka Wai Chan is a financial professional with over 20 years of experience in the industry. Ka Wai is currently registered with Capital Client Group, Inc. Ka Wai has been with Capital Client Group, Inc. since 2025 and is licensed in Indiana and Texas. Before joining Capital Client Group, Inc., Ka Wai worked at American Funds in San Antonio, Texas and Capital Group / Capital Client Group, Inc. in San Antonio, Texas. Ka Wai has a diverse background having previously worked at Foreside Distributors, LLC. in Portland, Maine and American Beacon Advisors in Irving, Texas. Ka Wai has also held positions at Invesco Distributors, Inc., Dean Witter Reynolds Inc. and American Funds. Ka Wai has a strong background in the financial industry, having passed the Series 66, Series 7, Series 31 and SIE exams.

Firm Information

Ka Chan is currently registered with Capital Client Group, Inc.. Capital Client Group, Inc. is a corporation established in 1972 and headquartered in Los Angeles, California. The firm provides various investment advisory services, including recommending affiliate as an investment advisor of SMA assets. They primarily serve corporations, individuals, insurance companies, investment companies, and other investment advisors. The firm is registered with the SEC and in 53 states.
Capital Client Group, Inc.

333 SOUTH HOPE STREET

LOS ANGELES, CA 90071-1406

Not reported

Assets Under Management

Not reported

Total Clients

619

Total Financial Advisors

Services Offered

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.

check

recommending affiliate as investment adviser of sma assets

Recommending affiliate as investment adviser of sma assets

Fee Structure

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.

check

other

As agreed upon in a manner that covers registrant's costs

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Ka Chan’s Registration & Firm History

TX

01/16/2025 - Present

Capital Client Group, Inc. (SAN ANTONIO TX)

TX

06/15/2010 - 10/23/2017

FORESIDE FUND SERVICES, LLC (FORT WORTH TX)

TX

07/11/2000 - 06/05/2010

INVESCO DISTRIBUTORS, INC. (HOUSTON TX)

NY

03/16/1999 - 06/16/2000

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

Not sure if Ka Wai Chan is right for you?

Licenses & Designations

BOTH

Issued 03/23/1999

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/23/2017

SIE - Securities Industry Essentials Examination

BC

Issued 04/13/1999

Series 31 - Futures Managed Funds Examination

BC

Issued 03/15/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ka Wai Chan.
Not sure if Ka Wai Chan is right for you?