Wing Kei Chan
Professional Summary
Wing Kei Chan, who also goes by Keith Chan, Chan Wing Kei, is a registered financial advisor currently at MOOMOO FINANCIAL INC. located in Jersey City, New Jersey. Wing Kei is registered as a RR (Registered Representative) and started their career in finance in 2019. Wing Kei has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 3, SIE, Series 7, Series 14, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Keith Chan, Chan Wing Kei
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
FUTU INC | MOOMOO FINANCIAL INC. | MOOMOO FINANCIAL INC
Contact Information
Main Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311Mailing Address
185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311Phone Number
(650) 798-5700Established
Delaware since 12/17/2015Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FUTU US INC | SHAREHOLDER | — |
| CHAN, WING KEI | MANAGING DIRECTOR | 6616753 |
| DU, SHUANG | HEAD OF US OPERATIONS | 5005050 |
| JABLONSKI, RICHARD MICHAEL | CHIEF FINANCIAL OFFICER | 2916358 |
| MCDONALD, NEIL ANTHONY | CEO | 1764574 |
| PALMER, NATHAN TYLER | PRESIDENT | 5805173 |
| PARSONS, DARREN JAMES | CHIEF OPERATIONS OFFICER | 2382680 |
| SHARMA, VICKRAMJIT | CHIEF LEGAL OFFICER | 7186502 |
| STIFELMAN, GLEN ROBERT | CHIEF COMPLIANCE OFFICER | 1699013 |
Disclosures
Regulatory Event
2Arbitration
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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.
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State Registrations and Notice Filings
(11/7/2018)
(10/24/2018)
(1/23/2018)
(12/10/2018)
(12/17/2018)
(12/10/2018)
(11/1/2018)
(11/13/2018)
(12/19/2018)
(10/16/2018)
(12/10/2018)
(10/24/2018)
(1/7/2019)
(12/10/2018)
(12/10/2018)
(10/24/2018)
(10/30/2018)
(11/8/2018)
(12/11/2018)
(11/15/2018)
(11/15/2018)
(12/10/2018)
(11/8/2018)
(10/17/2018)
(10/31/2018)
(11/14/2018)
(11/6/2018)
(12/10/2018)
(11/30/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2021About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Wing Kei Chan's CRS (Customer Relationship Summary).
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