Constance Chan
Professional Summary
Constance Chan, who also goes by Connie Chan, is a registered financial advisor currently at TCI WEALTH ADVISORS, INC. located in Reno, Nevada. Constance is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Constance has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Connie Chan
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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.
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Years of Experience
3 years in the financial services industry
Current & Past Employments
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Current Firm
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON
Contact Information
Main Address
4011 East Sunrise Drive, Tucson, AZ 85718Phone Number
(520) 733-1477# of Employees
72SEC notice filing (38 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
11,863AUM (Assets Under Management)
$5,368,062,519Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/08/2025 | Cover Page | Report |
| 08/23/2024 | Cover Page | Report |
| 10/30/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
AQN INVESTMENT ADVISORS, INC. | THE CONSERVATIVE INVESTOR | TCI WEALTH MANAGEMENT, INC. | TCI WEALTH ADVISORS, INC. | TCI FINANCIAL PLANNING, INC. | TCI ASSET MANAGERS, INC. | SWIFT ROBERT CLARKSON
State Registrations and Notice Filings
(10/9/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Constance Chan's CRS (Customer Relationship Summary).
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