Stephen Y. 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.
Stephen Yauman Kwan, CFP®, who also goes by Stephen Kwan, Steve Kwan, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE, 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
Start date: 2002
Experience
November 2, 2022 - December 15, 2022
ARK WEALTH MANAGEMENT
March 25, 2009 - March 14, 2022
MADISON AVENUE SECURITIES, LLC
April 27, 2006 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
April 3, 2006 - November 20, 2022
MADISON AVENUE SECURITIES, LLC
May 30, 2001 - April 19, 2006
EAGLE STRATEGIES LLC
February 22, 1999 - April 24, 2006
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
ARK WEALTH MANAGEMENT
CRD#: 317264 / SEC#: 801-123029
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
ARK WEALTH MANAGEMENT
CRD#: 317264 / SEC#: 801-123029
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 539 |
| AUM (Assets Under Management) | $ 191,000,000 |
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.
