Alfred K. 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.
Alfred Kai Kwong Chan, who also goes by Alfred Kai Kwong Chan, Alfred Kai Kwong Chan, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 2002. Alfred had worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2015 - December 31, 2020
FOCAL POINT CAPITAL MANAGEMENT
January 3, 2014 - January 26, 2016
NI ADVISORS
December 26, 2013 - January 26, 2016
NI ADVISORS
January 25, 2011 - December 3, 2013
SIGNATOR INVESTORS, INC.
December 2, 2010 - December 3, 2013
SIGNATOR INVESTORS, INC.
September 8, 2009 - November 23, 2010
LPL FINANCIAL LLC
September 8, 2009 - November 23, 2010
LPL FINANCIAL LLC
April 1, 2009 - December 11, 2009
STRATEGIC WEALTH ADVISORS GROUP
March 12, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
March 12, 2009 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
March 12, 2009 - September 8, 2009
ASSOCIATED SECURITIES CORP.
October 28, 2008 - March 12, 2009
CETERA WEALTH SERVICES, LLC
August 13, 2008 - March 12, 2009
CETERA WEALTH SERVICES, LLC
March 14, 2003 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
April 24, 2002 - March 19, 2003
METROPOLITAN LIFE INSURANCE COMPANY
April 24, 2002 - March 19, 2003
MSI FINANCIAL SERVICES, INC.
March 4, 2002 - March 19, 2002
WMA SECURITIES, INC.
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
FOCAL POINT CAPITAL MANAGEMENT
CRD#: 277160 / SEC#:
Contact information
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.
