KC
Ka W. Chan
CAPITAL CLIENT GROUP
San Antonio, TX
Some features on this profile are disabled
CRD#: 3185180
KC
Professional summary
Ka Wai Chan, who also goes by Susanna Ka Wai Chan, Susanna Chan, Sue Chan, Ka Wai Chan, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in San Antonio, Texas.
Ka is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ka has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susanna Ka Wai Chan | Susanna Chan | Sue Chan | Ka Wai Chan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Ka Wai Chan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ka Wai Chan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 27, 2018 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Current
November 27, 2018 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321RIA
BD
CRD#: 6247
San Antonio, TX
Past
November 1, 2010 - November 7, 2017
AMERICAN BEACON ADVISORS, INC.
RIA
CRD#: 105552
IRVING, TX
Past
June 15, 2010 - October 23, 2017
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
FORT WORTH, TX
Past
January 1, 2010 - June 5, 2010
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
May 26, 2005 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
RIA
CRD#: 109264
HOUSTON, TX
Past
July 11, 2000 - June 5, 2010
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
March 16, 1999 - June 16, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/2/2024)
RR
Arizona(1/30/2025)
RR
Arkansas(1/9/2024)
RR
California(2/27/2020)
RR
Colorado(1/30/2025)
RR
Hawaii(1/30/2025)
RR
Idaho(1/30/2025)
RR
Indiana(2/2/2021)
IAR
Indiana(2/3/2021)
RR
Louisiana(1/2/2024)
RR
Mississippi(1/2/2024)
RR
Montana(1/2/2024)
RR
Nebraska(1/2/2024)
RR
Nevada(11/6/2023)
RR
New Mexico(1/2/2024)
RR
North Dakota(1/2/2024)
RR
Oklahoma(1/2/2024)
RR
Oregon(1/30/2025)
RR
South Carolina(1/2/2024)
RR
South Dakota(1/2/2024)
RR
Texas(1/15/2025)
IAR
Texas(1/16/2025)
RR
Utah(1/30/2025)
RR
Vermont(1/2/2024)
RR
Washington(1/30/2025)
RR
West Virginia(1/2/2024)
RR
Wyoming(1/2/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
AMERICAN FUNDS DISTRIBUTORS, INC. | CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
RIA
Registered Investment Advisory firm - SEC (4/25/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
333 S. Hope St. 55th Fl. 55th Floor, Los Angeles, CA 90071-1406
Mailing Address
333 S. Hope St. 55th Fl., Los Angeles, CA 90071
Phone number
(213) 486-9200
Established
California since 05/09/1972
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
911
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
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.
