Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wai ip? Claim Your ProfileWai ip Chan is a financial advisor with over 13 years of experience in the financial services industry. Wai ip is currently registered with J.p. Morgan Securities LLC as a registered representative and investment advisor representative. Previously, Wai ip Chan was registered with Cetera Investment Services LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Citigroup Global Markets Inc. Wai ip has a strong track record of providing financial advice to individuals, families, and businesses. Wai ip Chan is committed to helping clients achieve their financial goals through personalized financial planning and investment management.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/05/2018 - Present
J.p. Morgan Securities LLC (Walnut Creek CA)
CA
08/04/2017 - 05/16/2018
CETERA INVESTMENT SERVICES LLC (SAN FRANCISCO CA)
CA
05/19/2014 - 08/07/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
CA
05/29/2007 - 10/06/2010
CITIGROUP GLOBAL MARKETS INC. (MILPITAS CA)
CA
12/13/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (MILPITAS CA)
BOTH
Issued 11/10/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/29/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/27/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/11/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2014
Series 7 - General Securities Representative Examination
BC
Issued 12/12/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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