Arthur W. Chan
Professional summary
Arthur Wingkeung Chan, who also goes by Wing Keung Arthur Chan, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in New York, New York.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1987. Arthur has worked at 8 firms and has passed the Series 63, Series 52TO, Series 50, SIE, Series 79, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur Wingkeung Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2024 - Present
FHN FINANCIAL SECURITIES CORP.
Office #1: 444 Madison Avenue 9th Floor, New York, NY 10022April 25, 2018 - March 20, 2024
SAMUEL A. RAMIREZ & COMPANY, INC.
April 6, 2011 - March 20, 2018
RBC CAPITAL MARKETS, LLC
April 2, 2009 - April 4, 2011
M. R. BEAL & COMPANY
September 22, 2008 - December 10, 2008
BARCLAYS CAPITAL INC.
May 8, 1998 - September 22, 2008
LEHMAN BROTHERS INC.
July 27, 1992 - April 29, 1998
JPMSI
September 24, 1987 - October 18, 1993
MORGAN STANLEY DW 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
(5/15/2024)
(5/15/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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