Margaret L. Chan
Professional summary
Margaret L Chan is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Margaret L Chan's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 12, 2006 - Present
SEACAP SECURITIES LLC
Office #1: 10877 Wilshire Boulevard Suite 2005, Los Angeles, CA 90024January 11, 2002 - July 3, 2006
SEABURY SECURITIES LLC
March 1, 2001 - October 25, 2001
JOSEPHTHAL & CO., INC.
October 11, 1999 - November 2, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 1990 - March 11, 1997
OBP MUNICIPALS CORP.
July 11, 1988 - August 11, 1989
MORGAN STANLEY DW INC.
April 25, 1980 - November 14, 1987
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/18/2006)
(8/21/2017)
(4/5/2008)
(7/12/2006)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SEACAP SECURITIES LLC
CRD#: 133994 / SEC#: , 8-66804
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
