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WC

Wing S. Chan

IMC FINANCIAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6299492
WC

Professional summary

Wing Shan Chan is a registered financial professional currently at IMC FINANCIAL MARKETS located in Chicago, Illinois and IMC EXECUTION SERVICES located in Chicago, Illinois.

Wing is registered as a RR (Registered Representative) and started their career in finance in 2014. Wing has worked at 5 firms and has passed the Series 63, Series 3, Series 6TO, Series 57TO, SIE, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Wing Shan 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®
None

Experience

Current

May 23, 2022 - Present

IMC FINANCIAL MARKETS

Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 104143
Chicago, IL
Current

October 17, 2022 - Present

IMC EXECUTION SERVICES

Office #1: 233 S Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 301273
Chicago, IL
Current

September 3, 2023 - Present

IMC SECURITIES LLC

Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 144874
Chicago, IL
Past

July 25, 2019 - May 19, 2022

MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 292521
CHICAGO, IL
Past

March 21, 2014 - July 21, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CHICAGO, IL

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
Series 63
Date: 8/24/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/19/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 8/22/2022
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 7/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/21/2014
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/2/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/2016
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

IS
IMC SECURITIES LLC
CARDINAL CAPITAL MANAGEMENT LLC | IMC SECURITIES LLC

CRD#: 144874 / SEC#: , 8-67680

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
233 South Wacker Drive #4300, Chicago, IL 60606
Mailing Address
233 South Wacker Drive #4300, Chicago, IL 60606
Phone number
(312) 244-3300
Established
Illinois since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IMC AMERICAS INC.MEMBER
DOWNEY, JASON EDWARDCCO6080734
HOFFMAN, ADAM MICHAELCOO, CFO, PFO, POO5579229
LIEGEON, CHRISTINE ELIZABETHCEO5679799
TAYLOR, LAURA DENISEFINOP7116097

Disclosures

Regulatory Event3

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

IMC SECURITIES LLC

CRD#: 144874Chicago, IL 60606

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