Peter L. Chan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter Ling Chan, who also goes by Sze Ling Chan, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1980. Peter had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2008 - October 22, 2013
QUEST CAPITAL STRATEGIES, INC.
November 18, 2005 - February 23, 2006
TERWIN CAPITAL, LLC
November 7, 2002 - October 24, 2005
QUEST CAPITAL STRATEGIES, INC.
May 31, 2000 - December 31, 2001
CADARET, GRANT & CO., INC.
October 28, 1992 - November 30, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
April 30, 1991 - October 14, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
August 29, 1990 - April 30, 1991
MABON, NUGENT & CO.
September 23, 1980 - March 5, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
