Timothy A. 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.
Timothy Andrew Chan was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1992. Timothy had worked at 5 firms and has passed the Series 65, Series 63 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
July 5, 2006 - August 28, 2009
AK CAPITAL, LLC
July 14, 1998 - April 20, 2000
ACUMENT SECURITIES, INC.
April 23, 1997 - July 14, 1998
J.P. MORGAN SECURITIES LLC
September 28, 1992 - May 19, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1992 - August 26, 1992
F.N. WOLF & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
AK CAPITAL, LLC
CRD#: 35413 / SEC#: , 8-46787
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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