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Roger Y. Fan

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CRD#: 2150073
RF

Professional summary

Roger Yuenfu Fan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Roger is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Roger had worked at 1 firm, which includes U. S. PACIFIC FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roger Fan

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)

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

August 6, 1993 - July 25, 2001

U. S. PACIFIC FINANCIAL SERVICES, INC.

BD
CRD#: 17423
ALHAMBRA, CA

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 4/16/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/21/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/30/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 8/21/1996
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/15/1996
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/1/1994
General Securities Principal Examination

Current Firm

US
U. S. PACIFIC FINANCIAL SERVICES, INC.
SINO-TRADE FINANCIAL SERVICES, INC. | U.S. PACIFIC FINANCIAL SERVICES | U. S. PACIFIC FINANCIAL SERVICES, INC. | TRANS PACIFIC FINANCIAL SERVICES, INC.

CRD#: 17423 / SEC#: , 8-35223

BD
Terminated by SEC on 09/15/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/30/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FAN, ROGER YUENFUPRESIDENT2150073

Disclosures

Regulatory Event1
Arbitration1

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

U. S. PACIFIC FINANCIAL SERVICES, INC.

CRD#: 17423

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