Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Chan is an investment professional with over 20 years of experience in the financial services industry. Michael has been a registered representative with Northwestern Mutual Investment Services, LLC since 2009. Previously, Michael was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, AXA Advisors, LLC, HSBC Brokerage (USA) Inc., Republic Financial Services Corporation, Hornor, Townsend & Kent, Inc. and Guardian Investor Services Corporation. Michael's expertise includes providing financial advice and investment management services to individuals and families. Michael is a Registered Representative and Investment Advisor Representative with Northwestern Mutual Investment Services, LLC, a subsidiary of Northwestern Mutual.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
NJ
02/20/2009 - Present
Northwestern Mutual Investment Services, LLC (Florham Park NJ)
NJ
03/09/2007 - 12/22/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SHORT HILLS NJ)
NY
02/14/2001 - 03/21/2007
AXA ADVISORS, LLC (NEW YORK NY)
NY
06/19/2000 - 12/04/2000
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
12/07/1999 - 06/19/2000
REPUBLIC FINANCIAL SERVICES CORPORATION (NEW YORK NY)
PA
04/16/1998 - 12/01/1999
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
NY
07/29/1997 - 04/17/1998
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
IA
Issued 02/20/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/28/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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