Elaine K. Chan

FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES

Tacoma, WA

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CRD#: 4995818

Professional summary

Elaine K Chan, AIF®, CFP® is a registered financial advisor currently at FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES, LLC located in Tacoma, Washington.

Elaine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Elaine has worked at 2 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elaine K 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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

May 31, 2011 - Present

FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES, LLC

RIA

CRD#: 157591

Tacoma, WA

Past

November 9, 2005 - May 31, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BELLEVUE, WA

Past

October 7, 2005 - May 31, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BELLEVUE, WA

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

Washington
(5/31/2011)

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

State Security Law Exam

IAR

Series 66

Date: 11/8/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/5/2005

General Securities Representative Examination

Current Firm

FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES, LLC

CRD#: 157591 / SEC#:

California

Registered Investment Advisory firm - (12/16/2013 Terminated)

Washington

Registered Investment Advisory firm - (5/31/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

University Place, WA

Mailing Address

Phone number

(425) 954-3673

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 37,551,349

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Elaine K. Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elaine K Chan's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2005

Series 7

Date: 10/5/2005

Current Firm

FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIOH GLOBAL ASSET MANAGEMENT AND STRATEGIES, LLC

TRUST BUT VERIFY

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