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WQ

William K. Quan

TJM INVESTMENTS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2315978
WQ

Professional summary

William K Quan, who also goes by Bill Quan, is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 1993. William has worked at 6 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Quan

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) - BD

Click below to view William K Quan's CRS (Customer Relationship Summary).

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

Current

February 22, 2022 - Present

TJM INVESTMENTS, LLC

Office #1: 318 W. Adams Street Suite 900, Chicago, IL 60606
BD
CRD#: 46300
Chicago, IL
Past

February 17, 2010 - April 30, 2013

JB DRAX HONORE' INC.

BD
CRD#: 149957
NEW YORK, NY
Past

October 27, 2005 - February 2, 2010

TJM INVESTMENTS, LLC

BD
CRD#: 46300
NEW YORK, NY
Past

August 9, 2004 - October 17, 2005

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

March 31, 2002 - August 4, 2004

MIZUHO SECURITIES USA LLC

BD
CRD#: 19647
NEW YORK, NY
Past

September 8, 1998 - March 31, 2002

AUBREY G. LANSTON & CO., INC.

BD
CRD#: 19695
NEW YORK, NY
Past

January 20, 1993 - June 9, 1998

EASTBRIDGE CAPITAL INC.

BD
CRD#: 23858
NEW YORK, NY

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
RR
Series 63
Date: 8/18/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 6/8/2000
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TJM INVESTMENTS, LLC
MND PARTNERS | TJM SECURITIES, LLC | TJM INVESTMENTS, LLC

CRD#: 46300 / SEC#: , 8-51370

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
318 W. Adams Street Suite 900, Chicago, IL 60606
Mailing Address
318 W. Adams Street 9th Floor, Chicago, IL 60606
Phone number
(312) 432-5100
Established
Illinois since 10/13/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TJM HOLDINGS, LLCHOLDING COMPANY
BEITLER, STEVE ALLENCHIEF EXECUTIVE OFFICER1893827
BURKE, JOHN TERRENCECHIEF OPERATING OFFICER2116593
DANG, STACY BINHCHIEF COMPLIANCE OFFICER3143275
MURPHY, THOMAS JAMESCO-MANAGER857354
RISINGER, COLLEEN SULLIVANFINOP CFO2812053
SKWERES, DENISE PAREJKOFINOP CFO5332253

Disclosures

Regulatory Event12

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

TJM INVESTMENTS, LLC

CRD#: 46300Chicago, IL 60606

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