Roxann P. Chan

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CRD#: 7244312

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.

Roxann Puipui Chan, who also goes by Roxy P Chan, was a registered financial professional .

Roxann is a previously registered financial professional and started their career in finance in 2020. Roxann had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

Roxy P Chan

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 7, 2020 - November 18, 2022

OMNIA CAPITAL MANAGEMENT, INC.

RIA

CRD#: 151504

Arcadia, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

OMNIA CAPITAL MANAGEMENT, INC.

HK WEALTH MANAGEMENT, INC. | OMNIA CAPITAL MANAGEMENT, INC.

CRD#: 151504 / SEC#:

PREMIUM

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Contact information

Main Address

Blythe, CA

Mailing Address

11901 Santa Monica Bl #444, Los Angeles, CA 90025

Phone number

(213) 509-6544

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 7,227,337

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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