Angela L. 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.
Angela Lim-chun Chan, who also goes by Angela Hei-ling Chan, Angela L Chan, Angela Limchun Chan, Angela Chan, was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 1994. Angela had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 3, 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
June 17, 2020 - December 12, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
June 17, 2020 - December 12, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
December 13, 2018 - May 9, 2019
ELITE BROKERS, LLC
January 3, 2017 - May 9, 2019
ELITE ADVISORS, LLC
May 13, 2016 - December 31, 2016
ELITE ADVISORS, LLC
August 23, 2010 - September 24, 2014
KEY WEST INVESTMENTS, LLC
June 10, 2010 - September 24, 2014
KEY WEST INVESTMENTS, LLC
January 6, 2010 - June 18, 2010
H & L CAPITAL MANAGEMENT, INC.
June 24, 2009 - December 31, 2009
H&L CAPITAL MANAGEMENT, INC.
January 7, 2008 - March 2, 2009
GLOBALINK SECURITIES, INC.
September 7, 2005 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2005 - September 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2003 - August 23, 2005
CHARLES SCHWAB & CO., INC.
May 15, 2003 - August 23, 2005
CHARLES SCHWAB & CO., INC.
October 18, 1999 - November 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 1999 - November 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1998 - July 21, 1999
REPUBLIC FINANCIAL SERVICES CORPORATION
March 21, 1998 - September 11, 1998
OSAIC WEALTH, INC.
March 24, 1997 - February 2, 1998
IFMG SECURITIES, INC.
October 4, 1996 - March 22, 1997
METROPOLITAN LIFE INSURANCE COMPANY
October 4, 1996 - March 22, 1997
MSI FINANCIAL SERVICES, INC.
April 16, 1996 - May 16, 1996
IDS LIFE INSURANCE COMPANY
April 16, 1996 - May 16, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 1994 - January 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
