WC
Wing Kam Chan
TRANSAMERICA FINANCIAL ADVISORS
Great Neck, NY 11021
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CRD#: 5218324
WC
Professional summary
Wing Kam Chan, who also goes by Wing Kam Chan, Mavis Chan, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Great Neck, New York.
Wing Kam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Wing Kam has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wing Kam Chan | Mavis 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. SUMITOMO MITSUI TRUST BANK/Investment Related - No/1251 avenue of the americas, new york, ny 10020/Working in day to day operations as a relationship manager for the unit, providing and collecting information and answering inquiries on bank products. I do not serve in the capacity as a financial advisor, no advices are offer and securities licenses are not required./Relationship Manager/07.2021/200/180/provide relationship support to the bank's daily functions on products such as deposits, quotes, calculate interest on repayment, follow up and reply on inquires, etc. I do not serve as a financial advisor or involve in financial advisory activities.
CRS (Client Relationship Summary) - RIA
Click below to view Wing Kam Chan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wing Kam 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®
NoneExperience
Current
March 29, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 111 Great Neck Rd., Great Neck, NY 11021RIA
BD
CRD#: 16164
Great Neck, NY
Current
March 31, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 111 Great Neck Rd., Great Neck, NY 11021RIA
BD
CRD#: 16164
Great Neck, NY
Past
January 9, 2020 - July 15, 2021
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Forest Hills, NY
Past
March 29, 2007 - November 19, 2012
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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.RR
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
RR
New Jersey(10/9/2024)
IAR
New Jersey(10/10/2024)
IAR
New York(3/29/2023)
RR
New York(3/31/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/9/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
