Simon K. Chan

CETERA INVESTMENT ADVISERS LLC

NEW YORK, NY 10002

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CRD#: 5653210

Professional summary

Simon K Chan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in New York, New York and CETERA INVESTMENT SERVICES LLC located in New York, New York.

Simon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Simon has worked at 10 firms and has passed the Series 66, SIE 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.

Public Partnership LLC, is not investment related, located at PO Box 310, Binghamton, NY 13902, starting in April 2025, is a statewide intermediary for Consumer Directed Personal Assistance Program for support services to hire and manage their own caregivers, will give personal care for service subscribers, working approx 25hrs a month as a personal assistant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Simon K 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®

None

Experience

Current

July 8, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 77 Bowery, New York, NY 10002

RIA

CRD#: 105644

NEW YORK, NY

Current

July 8, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 77 Bowery, New York, NY 10002

CRD#: 19585

NEW YORK, NY

Past

October 4, 2012 - November 9, 2012

PALICO LLC

CRD#: 15960

NEW YORK, NY

Past

January 28, 2010 - September 28, 2012

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

NEW YORK, NY

Past

July 20, 2009 - September 28, 2012

HSBC SECURITIES (USA) INC.

CRD#: 19585

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".

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

California
(7/8/2025)

Connecticut
(7/8/2025)

District of Columbia
(7/8/2025)

Georgia
(7/8/2025)

Massachusetts
(7/8/2025)

New Jersey
(7/8/2025)

New York
(7/8/2025)

IAR

New York
(7/8/2025)

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: 1/27/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/2009

General Securities Representative 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

Simon K. Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UNFCU ADVISORS LLC

COPPER FINANCIAL

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

PALICO LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2010

SIE

Date: 10/1/2018

Series 7

Date: 7/18/2009

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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