Alan V. Tan
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.
Alan Vincent Tan was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1993. Alan had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2000 - December 31, 2018
J.K. FINANCIAL SERVICES, INC.
November 28, 1995 - October 18, 2000
ANDREW GARRETT INC.
February 14, 1995 - November 10, 1995
ACUMENT SECURITIES, INC.
December 8, 1994 - February 13, 1995
ROBERT SCOTT SECURITIES, INC.
April 21, 1993 - October 27, 1994
MONTANO SECURITIES CORPORATION
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
J.K. FINANCIAL SERVICES, INC.
CRD#: 103728 / SEC#: , 8-52214
Contact information
FINRA licenses (7 States and Territories)
Disclosures
| Regulatory Event | 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.
