Kent S. Chan
Professional summary
Kent Sing Chan, who also goes by Sing Ka Chan, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Kent is registered as a RR (Registered Representative) and started their career in finance in 1994. Kent has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kent Sing Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2018 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262May 7, 2004 - November 10, 2009
STRATEGIC ADVISERS LLC
May 7, 2004 - February 2, 2018
FIDELITY BROKERAGE SERVICES LLC
July 31, 2003 - April 12, 2004
TD AMERITRADE, INC.
December 21, 2002 - April 12, 2004
TD AMERITRADE, INC.
July 8, 1997 - December 12, 2002
CHARLES SCHWAB & CO., INC.
October 5, 1995 - December 12, 2002
CHARLES SCHWAB & CO., INC.
June 3, 1994 - October 2, 1995
INTERFIRST CAPITAL 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
Series 8
Date: 1/21/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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