Paulina M. Chan
Professional summary
Paulina M Chan, who also goes by Paulina Chan, Paulina M Yung, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Paulina is registered as a RR (Registered Representative) and started their career in finance in 2000. Paulina has worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 87, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paulina M Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2009 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103January 28, 2010 - February 2, 2010
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
April 28, 2004 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
July 1, 2003 - October 16, 2003
EQUITABLE ADVISORS, LLC
May 10, 2000 - April 23, 2002
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/1/2009)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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