Alexander K. Chan

CETERA INVESTMENT ADVISERS LLC

Dellwood, MN

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CRD#: 5129367

Professional summary

Alexander Ka Ho Chan, AIF®, who also goes by Alexander Ka Ho Chan, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dellwood, Minnesota and AVANTAX PLANNING PARTNERS, INC. located in St. Paul, Minnesota.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Alexander has worked at 11 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander Ka Ho 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) - RIA

Click below to view Alexander Ka Ho Chan's CRS (Customer Relationship Summary).

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

Experience

Current

August 10, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 400 Robert Street North Suite 1350, St. Paul, MN 55101

RIA

CRD#: 105644

Dellwood, MN

Current

May 8, 2024 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 400 Robert Street North Suite 1350, St. Paul, MN 55101

RIA

CRD#: 106237

ST. PAUL, MN

Current

August 10, 2023 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101

CRD#: 13572

Saint Paul, MN

Current

August 14, 2023 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101

CRD#: 15340

Saint Paul, MN

Current

August 14, 2023 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101

CRD#: 10358

Saint Paul, MN

Current

August 14, 2023 - Present

CETERA ADVISORS LLC

Office #1: 400 Robert Street North Suite 800, Saint Paul, MN 55101

CRD#: 10299

Saint Paul, MN

Past

May 8, 2024 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

SAINT PAUL, MN

Past

May 8, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

January 15, 2014 - November 8, 2021

CRI SECURITIES, LLC

RIA

CRD#: 22589

ST PAUL, MN

Past

January 15, 2014 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST PAUL, MN

Past

August 27, 2012 - October 13, 2017

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

June 21, 2007 - November 8, 2021

CRI SECURITIES, LLC

CRD#: 22589

ST PAUL, MN

Past

June 2, 2006 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST PAUL, MN

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Minnesota
(8/10/2023)

IAR

Minnesota
(8/10/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/11/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 8/14/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/7/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/20/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/29/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Firm Stability Insights

Alexander K. Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Ka Ho Chan's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVANTAX PLANNING PARTNERS, INC.

CETERA WEALTH SERVICES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

GROVE POINT INVESTMENTS, LLC

CRI SECURITIES, LLC

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2006

Series 52TO

Date: 8/14/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2006

Series 4

Date: 2/7/2012

Series 53

Date: 6/20/2009

Series 24

Date: 6/29/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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