Calvin C. Kwan
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.
Calvin Chiho Kwan, who also goes by Chiho Kwan, was a registered financial professional .
Calvin is a previously registered financial professional and started their career in finance in 1999. Calvin had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - October 8, 2020
SYMETRA SECURITIES, INC.
July 25, 2014 - May 25, 2016
THE HUNTINGTON INVESTMENT COMPANY
July 25, 2014 - May 25, 2016
THE HUNTINGTON INVESTMENT COMPANY
January 19, 2010 - July 2, 2014
NATIONWIDE SECURITIES, LLC
November 23, 2009 - December 31, 2010
NATIONWIDE SECURITIES, LLC
November 5, 2009 - July 2, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 4, 2008 - May 18, 2009
OSAIC WEALTH, INC.
December 3, 2007 - May 18, 2009
OSAIC WEALTH, INC.
October 5, 2006 - November 9, 2007
U.S. BANCORP ADVISORS, LLC
October 5, 2006 - November 9, 2007
U.S. BANCORP ADVISORS, LLC
February 28, 2005 - October 2, 2006
WAMU INVESTMENTS, INC.
February 28, 2005 - October 2, 2006
WAMU INVESTMENTS, INC.
February 1, 2005 - February 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
February 1, 2005 - February 25, 2005
IDS LIFE INSURANCE COMPANY
February 1, 2005 - February 25, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
July 29, 1999 - January 6, 2005
WAMU INVESTMENTS, INC.
January 4, 1999 - August 31, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 4, 1999 - April 5, 2001
EQUITABLE ADVISORS, LLC
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
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationSeries 6TO
Date: 3/15/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
