Eric T. Chan
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.
Eric T Chan, who also goes by Eric T. Chan, Eric Tsz Lung Chan, Eric T Chan, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1991. Eric had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2020 - May 30, 2026
CHARLES SCHWAB & CO., INC.
June 20, 2019 - August 8, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 19, 2017 - July 21, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 14, 2015 - October 8, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 3, 2014 - June 20, 2014
NATIONAL PLANNING CORPORATION
August 7, 2000 - September 12, 2013
CHARLES SCHWAB & CO., INC.
July 12, 1999 - August 28, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 20, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
February 5, 1996 - December 12, 1996
BA INVESTMENT SERVICES, INC.
September 13, 1993 - February 9, 1996
CHARLES SCHWAB & CO., INC.
November 29, 1991 - September 14, 1993
LIGHT SECURITIES
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
