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LC

Lai Kam Alice Chan

Some features on this profile are disabled
CRD#: 4790629
LC

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.

Lai Kam Alice Chan, who also goes by Alice Chan, Lai Kam Chan, was a registered financial professional .

Lai Kam Alice is a previously registered financial professional and started their career in finance in 2012. Lai Kam Alice had worked at 15 firms and has passed the SIE, Series 99 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alice Chan | Lai Kam Chan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 19, 2021 - December 12, 2023

GENESIS GLOBAL TRADING, INC

BD
CRD#: 136962
NEW YORK, NY
Past

August 30, 2017 - November 20, 2020

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

June 26, 2017 - July 1, 2021

SUNRISE BROKERS LLC

BD
CRD#: 151012
NEW YORK, NY
Past

June 26, 2017 - July 7, 2021

CF SECURED, LLC

BD
CRD#: 285841
NEW YORK, NY
Past

October 25, 2016 - May 27, 2020

CFWP SECURITIES, LLC

BD
CRD#: 170228
NEW YORK, NY
Past

October 25, 2016 - July 7, 2021

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

October 25, 2016 - July 7, 2021

GFI SECURITIES LLC

BD
CRD#: 19982
NEW YORK, NY
Past

October 25, 2016 - July 7, 2021

FMX EXECUTION, LLC

BD
CRD#: 154075
NEW YORK, NY
Past

October 25, 2016 - July 7, 2021

BGC FINANCIAL, L.P.

BD
CRD#: 19801
NEW YORK, NY
Past

October 25, 2016 - July 7, 2021

AQUA SECURITIES L.P.

BD
CRD#: 47681
NEW YORK, NY
Past

March 2, 2015 - July 7, 2021

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

July 25, 2014 - March 2, 2015

G-TRADE SERVICES LLC

BD
CRD#: 140314
NEW YORK, NY
Past

February 4, 2014 - March 2, 2015

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

January 29, 2013 - January 23, 2014

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

March 22, 2012 - September 5, 2012

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/21/2012
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/1/2012
Financial and Operations Principal Examination

Current Firm

GG
GENESIS GLOBAL TRADING, INC
GENESIS GLOBAL TRADING | SECONDMARKET, INC. | GREEN DRAKE, INC. | GREEN DRAKE CAPITAL CORP. | GENESIS GLOBAL TRADING, INC

CRD#: 136962 / SEC#: , 8-67055

BD
Terminated by SEC on 12/10/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/08/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DIGITAL CURRENCY GROUP INCWHOLE OWNER
ALVAREZ, CARLOS CCCO5689384
CHAN, LAI KAM ALICEOFFICER4790629
HOROWITZ, DANIEL ROBERTFINANCIAL AND OPERATIONS PRINCIPAL6424147
ISLIM, AHMED DERARCEO6080654
MURPHY, MARK DANIELDIRECTOR5695540
PRETTO-SAKMANN, ARIANNACHIEF LEGAL OFFICER7115671

Disclosures

Regulatory Event3

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.

Company Information

GENESIS GLOBAL TRADING, INC

CRD#: 136962

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