Chieh Pan
Professional Summary
Chieh Pan, who also goes by Rocky Pan, is a registered financial advisor currently at UPMARKET SECURITIES LLC located in Milpitas, California. Chieh is registered as a RR (Registered Representative) and started their career in finance in 2016. Chieh has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rocky Pan
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
Years of Experience
10 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
Current Firm
MEIXIN SECURITIES LLC | UPMARKET SECURITIES LLC | MX SECURITIES LLC
Contact Information
Main Address
1525 Mccarthy Boulevard #1000, Milpitas, CA 95035Mailing Address
1525 Mccarthy Boulevard #1000, Milpitas, CA 95035Phone Number
+1 (888) 248-7658Established
Delaware since 08/09/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (38 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
2Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2016About the Series 6 examSRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC
CRS (Client Relationship Summary) - BD
Click below to view Chieh Pan's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
STRATEGIC ADVISERS LLC
FALCON WEALTH PLANNING, LLC