Tzeking 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.
Tzeking Chan, who also goes by Rocky Chan, was a registered financial professional .
Tzeking is a previously registered financial professional and started their career in finance in 2004. Tzeking had worked at 9 firms and has passed the Series 66, Series 7TO, SIE, 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
August 24, 2023 - February 15, 2024
CETERA INVESTMENT ADVISERS LLC
August 24, 2023 - February 15, 2024
CETERA INVESTMENT SERVICES LLC
January 14, 2020 - August 23, 2023
AVANTAX ADVISORY SERVICES
January 14, 2020 - August 23, 2023
AVANTAX INVESTMENT SERVICES, INC.
October 28, 2019 - November 5, 2019
AVANTAX ADVISORY SERVICES
October 25, 2019 - November 5, 2019
AVANTAX INVESTMENT SERVICES, INC.
September 25, 2019 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
October 23, 2009 - July 21, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - July 21, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 26, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 2, 2007 - December 1, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - December 1, 2008
MORGAN STANLEY & CO. LLC
March 1, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
January 27, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Series 7TO
Date: 9/25/2019
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
