Dora Chin

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CRD#: 1516991

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.

Dora Chin, who also goes by Dora Chan, Chan Chin, was a registered financial professional .

Dora is a previously registered financial professional and started their career in finance in 1986. Dora had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dora Chan | Chan Chin

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.

Business Name: Windsor Private Wealth, LLC Investment Related: Yes Address: 125 High Street, Ste 220 Boston MA 02110 Nature of Business: Registered Field Assistant; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Wealth Management Associate Start Date: 12/1/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Client Service Business Name: Harmony Realty Trust (22-24 Eden Street, Worcester, MA) Investment Related: Yes Address: 22-24 Eden Street Worcester MA 01609 Nature of Business: Real Estate Position, Title or Relationship: Beneficiary of Trust Start Date: 7/26/2006 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: None Business Name: Steven Chin and Dora Chin (20 Eden St, Worcester MA) Investment Related: Yes Address: 20 Eden Street Worcester MA 01609 Nature of Business: Real Estate Position, Title or Relationship: Joint Owner only. Apts are managed by Steven Chin (spouse.) Start Date: 3/26/2006 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: None Business Name: Kestra Advisory Services LLC Investment Related: Yes Address: 5707 Southwest Parkway, Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: IAR Start Date: 12/2/2020 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: IAR Business Name: 21 EDEN STREET - PARKING LOT FOR MULTI-UNIT POSITION: Owner NATURE: n/a INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2008 ADDRESS: 21 Eden Street, Worcester MA 01609 DESCRIPTION: None

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2021 - February 28, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Boston, MA

Past

December 2, 2020 - February 28, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Boston, MA

Past

March 4, 2014 - December 8, 2020

MORGAN STANLEY

RIA

CRD#: 149777

BOSTON, MA

Past

June 1, 2009 - December 8, 2020

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

Past

November 11, 2008 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOSTON, MA

Past

April 2, 2007 - November 13, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

BOSTON, MA

Past

April 2, 2007 - November 13, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

BOSTON, MA

Past

December 17, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BOSTON, MA

Past

August 26, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

BOSTON, MA

Past

September 1, 1997 - August 29, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

November 12, 1993 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

March 13, 1991 - November 5, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 22, 1988 - February 19, 1991

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

March 27, 1987 - December 7, 1987

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

July 23, 1986 - March 19, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/5/2002

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Dora Chin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/1999

Series 63

Date: 12/13/1996

SIE

Date: 10/1/2018

Series 3

Date: 11/5/2002

Series 7

Date: 7/19/1986

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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