Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phyllis? Claim Your ProfilePhyllis Chan is a financial advisor with Cetera Investment Services LLC in Pasadena, California. Phyllis has been in the financial services industry since 1999 and has experience working with a variety of firms including Independent Financial Group, LLC and VOYA Financial Advisors, Inc. Phyllis is registered with the state of California and holds Series 6 and SIE licenses.
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.
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.
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2
CA
10/18/2021 - Present
Cetera Investment Services LLC (PASADENA CA)
CA
10/09/2015 - 10/15/2021
INDEPENDENT FINANCIAL GROUP, LLC (HUNTINGTON BEACH CA)
CA
10/18/2005 - 10/19/2015
VOYA FINANCIAL ADVISORS, INC. (HUNTINGTON BEACH CA)
FL
10/21/2004 - 10/17/2005
INTERSECURITIES, INC. (ST. PETERSBURG FL)
CA
01/07/2003 - 10/13/2004
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NV
09/24/2001 - 12/02/2002
FINANCIAL WEST GROUP (RENO NV)
NY
12/05/2000 - 07/11/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
NJ
03/12/1999 - 06/22/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 03/03/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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