Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tracy? Claim Your ProfileTracy Chan is a financial advisor with over 15 years of experience in the industry. Tracy is currently registered with LPL Financial LLC and is licensed in Arizona, California, Florida, Hawaii, Kansas, Nevada, New York, Texas, and Washington. Tracy has previously worked with Waddell & Reed, Morgan Stanley, Wells Fargo Advisors, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tracy holds the Series 7 and Series 66 licenses and the SIE. Tracy also owns and operates an insurance agency, Tracy A Chan LLC.
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.
Consulting and other non-discretionary advisory services
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.
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CA
07/21/2021 - Present
LPL Financial LLC (PASADENA CA)
CA
02/18/2021 - 07/21/2021
WADDELL & REED (PASADENA CA)
CA
09/11/2014 - 03/08/2021
MORGAN STANLEY (PASADENA CA)
CA
03/23/2009 - 09/12/2014
WELLS FARGO ADVISORS, LLC (PASADENA CA)
CA
01/12/2009 - 02/11/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
BOTH
Issued 04/11/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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