Della C. Kan
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.
Della C Kan was a registered financial professional .
Della is a previously registered financial professional and started their career in finance in 1995. Della had worked at 6 firms and has passed the Series 66, Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2012 - December 7, 2018
HAMILTON-BATES INVESTMENT RESEARCH, INC.
November 16, 2011 - December 31, 2011
CETERA INVESTMENT ADVISERS LLC
November 15, 2011 - December 31, 2011
CETERA FINANCIAL SPECIALISTS LLC
February 25, 2008 - November 3, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 29, 2000 - November 3, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 14, 1999 - February 22, 2000
MONEY CONCEPTS CAPITAL CORP
September 20, 1995 - December 31, 1997
WMA SECURITIES, INC.
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
HAMILTON-BATES INVESTMENT RESEARCH, INC.
CRD#: 114127 / SEC#: 801-60463
Contact information
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 55,537,100 |
Red Flags
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