Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Yiu kwan? Claim Your ProfileYiu kwan Ken Chan is a registered representative with J.P. Morgan Securities LLC. Yiu kwan Ken Chan has been in the industry since 2003. Yiu kwan Ken Chan is currently registered with the states of Connecticut, New Jersey, and New York. Yiu kwan Ken Chan was previously registered with HSBC Securities (USA) Inc., HSBC Brokerage (USA) Inc., and UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP. Yiu kwan Ken Chan holds the following licenses: Series 63, Series 7, and SIE. Yiu kwan Ken Chan specializes in a variety of financial products and services.
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
NY
09/27/2021 - Present
J.p. Morgan Securities LLC (ELMHURST NY)
NY
04/02/2018 - 06/05/2020
HSBC SECURITIES (USA) INC. (ELMHURST NY)
NY
01/01/2005 - 11/17/2017
HSBC SECURITIES (USA) INC. (ELMHURST NY)
NY
11/05/2001 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
06/28/2001 - 10/19/2001
UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP (NEW YORK NY)
BC
Issued 08/14/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2001
Series 7 - General Securities 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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