Andrew Chan
CFP®, CIMA®Professional Summary
Andrew Chan, CFP®, CIMA® is a registered financial advisor currently at LOCKER FINANCIAL SERVICES, LLC located in Needham, Massachusetts. Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Andrew has worked at 4 firms and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- Risk Management & Insurance
- Health Care & Long-Term Care Planning
- Estate & Legacy Planning
- Financial Planning
- Tax Planning
- Social Security & Medicare Planning
- Investment Management
- Business Services
- Retirement Planning
Specializations
Biography
Our advice and the fees we charge are not tied to the purchase or sale of any products or the implementation of any strategy or recommendations. We do not receive any commissions or referrals fees. We only receive compensation from you, our client. Please visit our web site for more information about our firm at www.lockerfinancial.com.
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
LOCKER FINANCIAL DBA ELDERLIFE | LOCKER FINANCIAL SERVICES, LLC
Contact Information
Main Address
25 Pompton Avenue Suite 101, Verona, NJ 07044Phone Number
(973) 256-2555# of Employees
3SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
391AUM (Assets Under Management)
$213,787,195Similar Advisors
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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.
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Primary Firm SEC Registration
LOCKER FINANCIAL DBA ELDERLIFE | LOCKER FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
(1/30/2017)
(1/23/2017)
(2/27/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Andrew Chan's CRS (Customer Relationship Summary).
Services Offered by Andrew
- Risk Management & Insurance
- Health Care & Long-Term Care Planning
- Estate & Legacy Planning
- Financial Planning
- Tax Planning
- Social Security & Medicare Planning
- Investment Management
- Business Services
- Retirement Planning
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