Gregory D. Chan
Professional summary
Gregory Dung Sum Chan, who also goes by Gregory Dungsum Chan, is a registered financial professional currently at BTIG, LLC located in Burlingame, California.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 1995. Gregory has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory Dung Sum Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 21, 2015 - Present
BTIG, LLC
Office #1: 1350 Old Bayshore Highway, Burlingame, CA 94010March 30, 2015 - December 22, 2015
ALPS DISTRIBUTORS, INC.
August 19, 2008 - June 18, 2014
BNP PARIBAS PRIME BROKERAGE, INC.
May 13, 2005 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
October 28, 2004 - May 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - August 19, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 21, 1997 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
May 7, 1996 - July 12, 1999
BA INVESTMENT SERVICES, INC.
April 6, 1995 - November 24, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 1995 - February 3, 1997
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2015)
(1/2/2019)
(12/21/2015)
(12/21/2015)
(12/21/2015)
(12/21/2015)
(7/29/2021)
(12/21/2015)
(12/21/2015)
(12/21/2015)
(5/1/2018)
Exams
Series 8
Date: 4/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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