AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
NX

Nan B. Xie

Some features on this profile are disabled
CRD#: 5855433
NX

Professional summary

Nan Benson Xie was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nan is a previously registered financial advisor and started their career in finance in 2010. Prior to being barred, Nan had worked at 3 firms, which includes SEIA, SIGNATOR INVESTORS INC., NATIONAL PLANNING CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nan Xie

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

March 29, 2013 - August 5, 2014

SEIA

RIA
CRD#: 108163
LOS ANGELES, CA
Past

February 21, 2012 - August 4, 2014

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
LOS ANGELES, CA
Past

November 15, 2010 - March 11, 2011

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
TORRANCE, CA

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".
SEIA
SEIA
LIFECARE AFFORDABILITY PLAN | SIGNATURE ESTATE & INVESTMENT ADVISORS LLC | SEIA

CRD#: 108163 / SEC#: 801-56288

RIA
Registered Investment Advisory firm - (2/23/1999 Approved)

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

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/12/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SEIA
SEIA
LIFECARE AFFORDABILITY PLAN | SIGNATURE ESTATE & INVESTMENT ADVISORS LLC | SEIA

CRD#: 108163 / SEC#: 801-56288

RIA
Registered Investment Advisory firm - (2/23/1999 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2121 Avenue Of The Stars Suite 1600, Los Angeles, CA 90067
Mailing Address
Phone number
(310) 712-2323
Established
Firm type
Fiscal year end
# of Employees
171

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SEIA ADV 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts23,777
AUM (Assets Under Management)$ 18,726,645,517

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

SEIA

SEIA

CRD#: 108163

TRUST BUT VERIFY

Monitor Nan Xie

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics