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EC

Elizabeth S. Chan

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 1430042
EC

Professional summary

Elizabeth Siu Yen Chan, who also goes by Elizabeth S Chan, Liz Chan, Elizabeth S Tom, is a registered financial professional currently at STANDARD CHARTERED SECURITIES NORTH AMERICA LLC located in New York, New York.

Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1988. Elizabeth has worked at 7 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth S Chan | Liz Chan | Elizabeth S Tom

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elizabeth Siu Yen Chan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 20, 2009 - Present

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

Office #1: 1095 Avenue Of The Americas, New York, NY 10036
BD
CRD#: 130847
New York, NY
Past

September 22, 2008 - February 6, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

July 15, 2008 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 15, 2006 - October 2, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
NEW YORK, NY
Past

July 31, 1995 - June 18, 2008

ABN AMRO INCORPORATED

BD
CRD#: 15776
NEW YORK, NY
Past

January 21, 1993 - July 13, 1995

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY
Past

December 20, 1988 - February 4, 1991

MABON, NUGENT & CO.

BD
CRD#: 2617

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/5/2017)
RR
New York
(10/1/2012)
RR
Texas
(1/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/28/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
SCB SECURITIES LIMITED | STANDARD CHARTERED SECURITIES NORTH AMERICA LLC | STANDARD CHARTERED SECURITIES N.A. LLC | STANDARD CHARTERED SECURITIES (NORTH AMERICA) INC. | STANCHART SECURITIES (NORTH AMERICA) INC. | SCB SECURITIES LTD.

CRD#: 130847 / SEC#: , 8-66397

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1095 Avenue Of The Americas, New York, NY 10036
Mailing Address
1095 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 667-0700
Established
Delaware since 05/17/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STANDARD CHARTERED HOLDINGS INC.OWNER
DEFILIPPO, MANDY JPRESIDENT AND CHIEF EXECUTIVE OFFICER7184614
HAUSCHILD, AUGUST DANIELANTI MONEY LAUNDERING COMPLIANCE OFFICER4287421
JONES, PAUL FAULKNERCHIEF RISK OFFICER7630280
NIELSEN, PETERFINANCIAL AND OPERATIONS PRINCIPAL1072259
PAULIC, JACINTACHIEF COMPLIANCE OFFICER, HEAD, CFCC ADVISORY FM AMERICAS5823367

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.

Company Information

STANDARD CHARTERED SECURITIES NORTH AMERICA LLC

CRD#: 130847New York, NY 10036

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