Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kwai yun? Claim Your ProfileKwai yun Chan is a financial professional with over 20 years of experience in the financial services industry. Kwai yun is currently registered with Charles Schwab & CO., Inc., a large financial services firm headquartered in San Francisco, California. Kwai yun Chan has held previous positions with TD Ameritrade, Inc. and Scottrade, Inc., and HSBC Securities (USA) Inc. Kwai yun holds a number of securities licenses, including Series 7, 10, 24, 52, 53, 55, 57, 63 and 65. Kwai yun Chan provides financial planning and advisory services to 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NY
11/30/2021 - Present
Charles Schwab & CO., Inc. (Forest Hills NY)
NY
02/26/2018 - 12/31/2023
TD AMERITRADE, INC. (Forest Hills NY)
NY
04/27/2010 - 02/26/2018
SCOTTRADE, INC. (FLUSHING NY)
NY
02/23/2010 - 04/19/2010
HSBC SECURITIES (USA) INC. (ELMHURST NY)
NY
01/01/2005 - 07/30/2009
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
01/02/2000 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
IA
Issued 07/20/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/08/2005
Series 4 - Registered Options Principal Examination
BC
Issued 06/07/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/20/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/12/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/30/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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