Chieh Pan
Professional summary
Chieh Pan, who also goes by Rocky Pan, is a registered financial professional 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, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Chieh Pan's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2026 - Present
UPMARKET SECURITIES LLC
Office #1: 1525 Mccarthy Boulevard #1000, Milpitas, CA 95035May 14, 2016 - December 31, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 2, 2016 - December 31, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
UPMARKET SECURITIES LLC
CRD#: 295634 / SEC#: , 8-70120
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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