Robert 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.
Robert Chan was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 2002. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE 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 30, 2014 - December 22, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
January 29, 2014 - December 22, 2014
WESTERN INTERNATIONAL SECURITIES, INC.
April 2, 2012 - January 13, 2014
U.S. BANCORP INVESTMENTS, INC.
March 30, 2012 - January 13, 2014
U.S. BANCORP INVESTMENTS, INC.
November 18, 2009 - March 30, 2012
CETERA INVESTMENT SERVICES LLC
November 16, 2009 - March 30, 2012
CETERA INVESTMENT SERVICES LLC
July 5, 2007 - June 8, 2009
WELLS FARGO INVESTMENTS, LLC
July 5, 2007 - June 8, 2009
WELLS FARGO INVESTMENTS, LLC
May 18, 2006 - May 30, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
May 18, 2006 - May 30, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
October 1, 2003 - May 24, 2007
CITICORP INVESTMENT SERVICES
October 1, 2003 - May 24, 2007
CITICORP INVESTMENT SERVICES
April 17, 2002 - September 29, 2003
WELLS FARGO INVESTMENTS, LLC
January 23, 2002 - September 29, 2003
WELLS FARGO INVESTMENTS, LLC
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
