Ward G. Chann
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.
Ward Gon Chann, who also goes by Ward Gon Chann, was a registered financial professional .
Ward is a previously registered financial professional and started their career in finance in 1991. Ward had worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2022 - October 6, 2022
AVATAR SECURITIES, LLC
May 6, 2011 - July 25, 2012
COASTAL TRADE SECURITIES, LLC
March 30, 2010 - May 20, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
October 2, 2009 - March 17, 2010
PARK AVENUE SECURITIES LLC
June 3, 2008 - September 10, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
April 17, 2006 - June 11, 2008
ECHOTRADE LLC
November 15, 2002 - December 10, 2002
LEGEND MERCHANT GROUP, INC.
May 15, 1992 - April 29, 1993
CARILLON INVESTMENTS, INC.
October 28, 1991 - February 12, 1992
IDS LIFE INSURANCE COMPANY
October 28, 1991 - February 12, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 57TO
Date: 5/28/2022
Securities Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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