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Tat Chan

Principal Securities, Inc.

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About Tat Chan

Tat Chan is an active investment advisor representative with Principal Securities, Inc. based in COSTA MESA, CA. Tat Chan holds a Series 63 and Series 65 license and is registered with the state of California and Texas. Tat Chan has been in the industry for 5 years, having previously worked with NYLIFE Securities LLC and HSBC Securities (USA) Inc. Tat Chan's background includes insurance sales and real estate rental income.

Firm Information

Tat Chan is currently registered with Principal Securities, Inc.. Principal Securities, Inc. is a corporation founded in May 1968 with its main office in Des Moines, Iowa. The firm offers financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals. They have a wrap fee program and serve various client types, including individuals, corporations, charitable organizations, and pension plans. Principal Securities, Inc. has been registered with the SEC and in all 50 states plus Puerto Rico.
Principal Securities, Inc.

711 HIGH STREET

DES MOINES, IA 50392

$12.11B

Assets Under Management

1,153

Total Clients

2,140

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Seminar fees, solicitors fees, subscription consulting fees

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Tat Chan’s Registration & Firm History

CA

01/09/2024 - Present

Principal Securities, Inc. (COSTA MESA CA)

CA

05/26/2023 - 10/19/2023

NYLIFE SECURITIES LLC (GLENDALE CA)

CA

08/14/2017 - 02/08/2022

HSBC SECURITIES (USA) INC. (San Gabriel CA)

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Licenses & Designations

IA

Issued 01/05/2024

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/05/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/08/2024

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/14/2017

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Tat Chan. Review regulatory record here.
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