Lin T. Chan
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.
Lin T Chan, who also goes by Lin To Chan, Lin Chan, Lin To Chan, was a registered financial professional .
Lin is a previously registered financial professional and started their career in finance in 2001. Lin had worked at 11 firms and has passed the Series 66, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - June 28, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 12, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
July 9, 2010 - February 17, 2011
MML INVESTORS SERVICES, LLC
January 3, 2008 - September 19, 2008
ALLSTATE FINANCIAL SERVICES, LLC
August 5, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 2005 - January 7, 2008
MSI FINANCIAL SERVICES, INC.
February 16, 2005 - August 8, 2005
HORNOR, TOWNSEND & KENT, LLC
June 22, 2004 - February 18, 2005
MONY SECURITIES CORPORATION
February 17, 2004 - June 21, 2004
PARK AVENUE SECURITIES LLC
September 25, 2003 - June 21, 2004
PARK AVENUE SECURITIES LLC
May 17, 2002 - June 2, 2003
PRUCO SECURITIES, LLC.
February 6, 2002 - June 2, 2003
PRUCO SECURITIES, LLC.
February 16, 2001 - December 11, 2001
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
