Raymond Chan

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CRD#: 4036665

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.

Raymond Chan was a registered financial professional .

Raymond is a previously registered financial professional and started their career in finance in 2000. Raymond had worked at 10 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 11, 2010 - November 11, 2010

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

February 23, 2010 - March 24, 2010

PHD CAPITAL

CRD#: 38785

NEW YORK, NY

Past

October 31, 2008 - December 24, 2009

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

LAKE GROVE, NY

Past

April 30, 2008 - November 21, 2008

AMERICA'S CHOICE EQUITIES LLC

CRD#: 135272

HAUPPAUGE, NY

Past

August 28, 2007 - May 7, 2008

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

MEDFORD, NY

Past

November 20, 2006 - August 31, 2007

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

MEDFORD, NY

Past

January 27, 2006 - November 15, 2006

ITRADEDIRECT.COM CORP

CRD#: 18281

HAUPPAUGE, NY

Past

January 3, 2005 - January 25, 2006

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

January 2, 2004 - December 31, 2004

AMERICAN CAPITAL PARTNERS, LLC

CRD#: 119249

HAUPPAUGE, NY

Past

January 4, 2003 - November 19, 2003

TRIDENT PARTNERS LTD.

CRD#: 41258

WOODBURY, NY

Past

May 29, 2001 - June 27, 2001

MILESTONE FINANCIAL SERVICES, INC.

CRD#: 43295

BOHEMIA, NY

Past

May 10, 2000 - March 14, 2001

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

UNIONDALE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 4/29/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/2000

General Securities Representative Examination

Current Firm

CAPE SECURITIES INC.

CRD#: 7072 / SEC#: , 8-20747

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Mailing Address

1600 Pennsylvania Avenue, Mcdonough, GA 30253

Phone number

(678) 583-1120

Established

North Carolina since 02/23/1976

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
WEBB, JAMES RANDALL	CHAIRMAN	2089446
BACHMANN, KEVIN SCOTT	PRESIDENT	1406637
CIANTRO, PHILIP	CCO	2350685
CIANTRO, PHILIP	FINOP	2350685
JOKELA, JOHN KEVIN	COO	5474831

Disclosures

Regulatory Event	2
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Raymond Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PHD CAPITAL

FIRST MIDWEST SECURITIES, INC.

AMERICA'S CHOICE EQUITIES LLC

AMERICAN CAPITAL PARTNERS, LLC

J.P. TURNER & COMPANY, L.L.C.

ITRADEDIRECT.COM CORP

J.P. TURNER & COMPANY, L.L.C.

AMERICAN CAPITAL PARTNERS, LLC

TRIDENT PARTNERS LTD.

MILESTONE FINANCIAL SERVICES, INC.

JOSEPH GUNNAR & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/2000

Series 7

Date: 4/21/2000

Current Firm

CAPE SECURITIES INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPE SECURITIES INC.

TRUST BUT VERIFY

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