Michael Pan
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.
Michael Pan, who also goes by Michael C Pan, Michael Chon Wei Pan, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 5 firms and has passed the Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2010 - July 22, 2014
MONTROSE SECURITIES INTERNATIONAL
June 19, 1990 - January 24, 1992
A. GARY SHILLING & CO., INC.
August 29, 1988 - June 9, 1989
MARINE MIDLAND CAPITAL MARKETS CORP.
February 25, 1987 - September 20, 1989
HSBC BROKERAGE (USA) INC.
June 19, 1985 - March 27, 1987
E. F. HUTTON & COMPANY INC
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
Current Firm
MONTROSE SECURITIES INTERNATIONAL
CRD#: 35603 / SEC#: , 8-46821
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEUNG, PHILIP YEW | PRESIDENT - FINOP- CHIEF COMPLIANCE OFFICER | 1121435 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
