Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kenneth? Claim Your ProfileKenneth Chan is a financial advisor with over 30 years of experience in the financial services industry. Kenneth is a registered representative with Wells Fargo Clearing Services, LLC, and holds the Series 3, 7, and 63 licenses, as well as the Series 65 license. Kenneth has also passed the SIE exam. Kenneth specializes in providing financial planning and portfolio management services to individuals, businesses, and institutions. In addition to working with clients at Wells Fargo Advisors, LLC, Kenneth also owns and operates Kenneth Chan Roth IRA LLC, a private investment company. Kenneth's extensive experience and comprehensive knowledge of the financial markets allow Kenneth to help clients reach their financial goals.
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.
Investment consulting services to institutional clients
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.
1
2
CA
08/20/2014 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
NY
06/24/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
01/04/1988 - 07/12/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
01/07/1986 - 01/01/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
09/23/1983 - 12/13/1985
SHEARSON LEHMAN BROTHERS INC.
NA
08/24/1983 - 10/10/1983
DAVIS, SKAGGS & CO., INC.
IA
Issued 09/07/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/23/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1991
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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