Paul T. 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.
Paul Tak Ming Chan, who also goes by Paul T Chan, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1995. Paul had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 53 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 10, 2014 - March 19, 2015
TERRANOVA CAPITAL EQUITIES, INC
May 21, 2009 - June 11, 2012
TERRANOVA CAPITAL EQUITIES, INC
October 2, 2000 - December 3, 2003
MORGAN SPAULDING, INC.
June 25, 1998 - July 19, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
May 12, 1998 - June 26, 1998
THE CAMELOT GROUP, INC.
May 30, 1997 - January 16, 1998
WILLIAM SCOTT & CO. L.L.C.
September 11, 1995 - May 13, 1997
FIRST LIBERTY INVESTMENT GROUP, 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
TERRANOVA CAPITAL EQUITIES, INC
CRD#: 45097 / SEC#: , 8-50973
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
