Chuan 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.
Chuan Chan, who also goes by Casey Chan, Casey Chan, was a registered financial professional .
Chuan is a previously registered financial professional and started their career in finance in 1994. Chuan had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2017 - December 3, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 5, 2015 - December 14, 2016
NYLIFE SECURITIES LLC
August 4, 2008 - November 2, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
July 30, 2002 - November 28, 2005
LIBERTY LIFE SECURITIES LLC
July 9, 2001 - July 29, 2002
METROPOLITAN LIFE INSURANCE COMPANY
July 9, 2001 - July 29, 2002
MSI FINANCIAL SERVICES, INC.
January 8, 2001 - July 25, 2001
ESSEX NATIONAL SECURITIES, LLC
May 5, 2000 - August 9, 2000
BANC ONE SECURITIES CORPORATION
February 12, 1997 - April 20, 2000
SENTRY EQUITY SERVICES, INC.
December 21, 1995 - October 8, 1996
WADDELL & REED
May 31, 1994 - December 15, 1995
METROPOLITAN LIFE INSURANCE COMPANY
May 31, 1994 - December 15, 1995
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
