Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sandy? Claim Your ProfileSandy Fungshan Chan is an investment advisor representative for UBS Financial Services Inc. Sandy has been in the industry for over 20 years and has a wide range of experience working with clients, including high net worth individuals, corporations, and charitable organizations. Sandy is registered with the state of California, as well as many other states, as an investment advisor representative. They hold the Series 7, Series 63, Series 24, and Series 65 licenses, and the SIE exam. Sandy specializes in portfolio management, financial planning, and pension consulting. Prior to joining UBS, Sandy worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and UCB Investment Services, Inc.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CA
10/21/2013 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
06/28/2006 - 09/30/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
04/12/2004 - 06/29/2006
UCB INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
NY
01/22/2003 - 04/13/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 09/20/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Sandy Chan is the right advisor for you? Invested Better is here to help.
