Edward Chan

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CRD#: 4049238

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.

Edward Chan was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 2000. Edward had worked at 8 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 79 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

February 27, 2024 - May 8, 2025

TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717

NEW YORK, NY

Past

November 7, 2019 - February 14, 2022

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

June 19, 2017 - October 9, 2019

R. SEELAUS & CO., LLC

CRD#: 14974

SUMMIT, NJ

Past

January 28, 2016 - July 24, 2017

ALAMO CAPITAL

CRD#: 26193

New York, NY

Past

January 3, 2013 - October 7, 2015

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

August 11, 2010 - September 1, 2011

M. R. BEAL & COMPANY

CRD#: 22088

NEW YORK, NY

Past

August 31, 2006 - August 10, 2010

LOOP CAPITAL MARKETS LLC

CRD#: 43098

NEW YORK, NY

Past

September 14, 2000 - August 28, 2006

M. R. BEAL & COMPANY

CRD#: 22088

NEW YORK, NY

Past

February 2, 2000 - February 7, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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: 11/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/27/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 2/27/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 11/13/2013

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/1/2000

General Securities Representative Examination

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

TIGRESS FINANCIAL PARTNERS LLC | TIGRESS FINANCIAL PARTNERS, LLC

CRD#: 154717 / SEC#: 801-112815, 8-68671

RIA

Registered Investment Advisory firm - SEC (2/21/2024 Terminated)

Florida

Registered Investment Advisory firm - SEC (7/2/2025 Approved)

New York

Registered Investment Advisory firm - SEC (4/27/2018 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/15/2023 Conditional Restricted)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

410 Park Avenue 12th Floor, New York, NY 10022

Mailing Address

410 Park Avenue 12th Floor, New York, NY 10022

Phone number

(212) 430-8750

Established

Delaware since 05/26/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
TIGRESS HOLDINGS LLC	MAJORITY OWNER
CHEN, CHIASHIN NMN	CHIEF COMPLIANCE OFFICER	2992660
DIBARTOLO, CYNTHIA DENISE	CHIEF EXECUTIVE OFFICER	2413494
MARRONE, MICHAEL THOMAS	PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/FINOP	4859949

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 11,558,041

Disclosures

Regulatory Event

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

Edward Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

R. SEELAUS & CO., LLC

ALAMO CAPITAL

HAPOALIM SECURITIES USA, INC.

M. R. BEAL & COMPANY

LOOP CAPITAL MARKETS LLC

M. R. BEAL & COMPANY

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/2001

Series 7TO

Date: 2/27/2024

Series 79TO

Date: 2/27/2024

SIE

Date: 10/1/2018

Series 79

Date: 11/13/2013

Series 7

Date: 2/1/2000

Current Firm

TIGRESS FINANCIAL PARTNERS, LLC

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TIGRESS FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

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