Raymond M. Tan

CALIFORNIA FINANCIAL ADVISORS

SAN RAMON, CA 94583

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CRD#: 1717557

Professional summary

Raymond Michael Tan, ChFC® is a registered financial advisor currently at CALIFORNIA FINANCIAL ADVISORS located in San Ramon, California.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Raymond has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Raymond Michael Tan's CRS (Customer Relationship Summary).

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®

ChFC^®

Chartered Financial Consultant

Experience

Current

March 9, 1998 - Present

CALIFORNIA FINANCIAL ADVISORS

Office #1: 12657 Alcosta Blvd Suite 470, San Ramon, CA 94583

RIA

CRD#: 110152

SAN RAMON, CA

Past

August 13, 2014 - November 30, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

Auburn, CA

Past

February 4, 2011 - August 14, 2014

FINANCIAL TELESIS INC

RIA

CRD#: 31012

AUBURN, CA

Past

May 4, 1998 - August 14, 2014

FINANCIAL TELESIS INC

CRD#: 31012

AUBURN, CA

Past

September 17, 1987 - January 3, 1989

LINCOLN NATIONAL PENSION INSURANCE COMPANY

CRD#: 10293

Past

September 17, 1987 - May 28, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 17, 1987 - May 28, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

CALIFORNIA FINANCIAL ADVISORS

CALIFORNIA FINANCIAL ADVISORS | MALOON, POWERS, PITRE, HIGGINS & DENNEHY, LLC | MALOON, POWERS, PITRE & HIGGINS, LLC | MALOON POWERS & PITRE LLC

CRD#: 110152 / SEC#: 801-55273

RIA

Registered Investment Advisory firm - (2/18/1998 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/9/1998)

IAR

Texas
(10/28/2025)

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

Series 63

Date: 8/3/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/24/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/16/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CALIFORNIA FINANCIAL ADVISORS

CALIFORNIA FINANCIAL ADVISORS | MALOON, POWERS, PITRE, HIGGINS & DENNEHY, LLC | MALOON, POWERS, PITRE & HIGGINS, LLC | MALOON POWERS & PITRE LLC

CRD#: 110152 / SEC#: 801-55273

RIA

Registered Investment Advisory firm - (2/18/1998 Approved)

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Contact information

Main Address

12657 Alcosta Blvd Suite 470, San Ramon, CA 94583

Mailing Address

Phone number

(925) 275-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CFA PART 2A -2024 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	3,335
AUM (Assets Under Management)	$ 2,001,685,989

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.

Contact information

xxxxx@xxxx.xxx

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Raymond M. Tan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Michael Tan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOOTHILL SECURITIES, INC.

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

LINCOLN NATIONAL PENSION INSURANCE COMPANY

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

CALIFORNIA FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/1998

SIE

Date: 11/30/2016

Series 7

Date: 12/24/1996

Series 6

Date: 9/16/1987

Current Firm

CALIFORNIA FINANCIAL ADVISORS

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALIFORNIA FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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