Andy X. 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.
Andy Xiaocong Chan, who also goes by Andy XIao Cong Chan, Chen Chan, Xiao Cong Chan, was a registered financial professional .
Andy is a previously registered financial professional and started their career in finance in 1995. Andy had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 1995 - January 7, 1998
CAPITAL WORLD SECURITIES CORP
October 5, 1995 - January 26, 1998
U. S. PACIFIC FINANCIAL SERVICES, 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
CAPITAL WORLD SECURITIES CORP
CRD#: 32384 / SEC#: , 8-45694
Contact information
Documents
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.
