Margaret L Chan
Professional Summary
Margaret L Chan is a registered financial advisor currently at SEACAP SECURITIES LLC located in Los Angeles, California. Margaret is registered as a RR (Registered Representative) and started their career in finance in 1980. Margaret has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 34, Series 3, Series 7, Series 14, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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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.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST PRINCIPLE SECURITIES, LLC | SEACAP SECURITIES LLC
Contact Information
Main Address
152 W 57th Street 53rd Floor, New York, NY 10019Mailing Address
152 W 57th Street 53rd Floor, New York, NY 10019Phone Number
(212) 284-1150Established
Delaware since 12/20/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(12/18/2006)
(8/21/2017)
(4/5/2008)
(7/12/2006)
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 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Margaret L Chan's CRS (Customer Relationship Summary).
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