Andrew Chan
LOCKER FINANCIAL SERVICES
Needham, MA 02494
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CRD#: 4693414
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.
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.
Question & Answer
What are your service offerings?
Insurance Planning
Elder Care
Estate Planning
Comprehensive Financial Planni...
Tax Planning
Social Security Planning
Investment Planning
Employee and Employer Plan Ben...
Retirement Planning
Do you have an area of expertise or specialization?
Business Owners
Investment Advice with Ongoing...
Middle Income Client Needs
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Chan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2005
Experience
Current
January 23, 2017 - Present
LOCKER FINANCIAL SERVICES, LLC
Office #1: 117 Kendrick Street, Suite 300, Needham, MA 02494RIA
CRD#: 120900
Needham, MA
Past
September 4, 2008 - March 2, 2017
INTEGRATIVE FINANCIAL ADVISORS LLC
RIA
CRD#: 148164
FRAMINGHAM, MA
Past
July 19, 2006 - December 31, 2008
FAMILY FINANCIAL ARCHITECTS, INC.
RIA
CRD#: 108071
NATICK, MA
Past
December 18, 2003 - July 6, 2006
TOFIAS FINANCIAL ADVISORS LP
RIA
CRD#: 105025
CAMBRIDGE, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LOCKER FINANCIAL SERVICES, LLC
LOCKER FINANCIAL DBA ELDERLIFE | LOCKER FINANCIAL SERVICES, LLC
CRD#: 120900 / SEC#: 801-118288
RIA
Registered Investment Advisory firm - (3/23/2020 Approved)Massachusetts
Registered Investment Advisory firm - (6/15/2020 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2020 Terminated)New York
Registered Investment Advisory firm - (6/15/2020 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Massachusetts(1/30/2017)
IAR
New Jersey(1/23/2017)
Current Firm
LOCKER FINANCIAL SERVICES, LLC
LOCKER FINANCIAL DBA ELDERLIFE | LOCKER FINANCIAL SERVICES, LLC
CRD#: 120900 / SEC#: 801-118288
RIA
Registered Investment Advisory firm - (3/23/2020 Approved)Massachusetts
Registered Investment Advisory firm - (6/15/2020 Terminated)New Jersey
Registered Investment Advisory firm - (6/16/2020 Terminated)New York
Registered Investment Advisory firm - (6/15/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3 Claridge Drive Suite 2, Verona, NJ 07044
Mailing Address
Phone number
(973) 256-2555
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 364 |
| AUM (Assets Under Management) | $ 181,742,277 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LOCKER FINANCIAL SERVICES, LLC
CRD#: 120900Needham, MA 02494TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
