George K. Chin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George Kung Wai Chin was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2002 - January 23, 2024
DESTINATION WEALTH MANAGEMENT
December 23, 1997 - April 11, 2000
J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.
January 29, 1994 - February 19, 1997
LEHMAN BROTHERS INC.
August 3, 1993 - January 1, 1994
MONTANO SECURITIES CORPORATION
January 7, 1988 - August 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1986 - October 18, 1988
J.P. MORGAN SECURITIES LLC
April 19, 1983 - August 20, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
DESTINATION WEALTH MANAGEMENT
CRD#: 110365 / SEC#: 801-53077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 12/12/1984
Foreign Currency Options ExaminationSeries 5
Date: 5/19/1983
Interest Rate Options ExaminationSeries 8
Date: 7/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DESTINATION WEALTH MANAGEMENT
CRD#: 110365 / SEC#: 801-53077
Contact information
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,732 |
| AUM (Assets Under Management) | $ 4,145,050,618 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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