Ken Y. 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.
Ken Yau Yuen Chan, who also goes by Ken Y Chan, Yau Yuen Chan, was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1998. Ken had worked at 8 firms and has passed the Series 65, Series 63, Series 31 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
January 21, 2014 - July 8, 2014
CETERA INVESTMENT ADVISERS LLC
January 16, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
January 16, 2013 - July 8, 2014
CETERA INVESTMENT SERVICES LLC
October 11, 2011 - January 22, 2013
LPL FINANCIAL LLC
October 11, 2011 - January 22, 2013
LPL FINANCIAL LLC
April 10, 2006 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
April 10, 2006 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 9, 2006 - March 31, 2006
WAMU INVESTMENTS, INC.
July 5, 2005 - March 31, 2006
WAMU INVESTMENTS, INC.
April 12, 2005 - July 25, 2005
CITICORP INVESTMENT SERVICES
May 7, 1999 - March 31, 2003
MORGAN STANLEY DW INC.
December 18, 1998 - March 31, 2003
MORGAN STANLEY DW INC.
March 19, 1998 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
