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Detailed Report
WALTER KWONGWAH KWAN
WALTER KWONG KWAN
CRD#: 2178490
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 200 LINCOLN ST
UNIT 201
BOSTON, MA 02111
Registration History
19952000200520102015202020252 FIRMS2024 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)1991 - 2024 (33 years)BTHE PRUDENTIAL INSURANCE COMPA... (CRD# 680)1991 - 1993 (2 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2022 - 2024 (2 years)
License(s)

State Registrations

B
California 1/16/2025
B
New Hampshire 11/14/2024
B
Maine 11/14/2024
B
New Jersey 11/14/2024
B
Massachusetts 11/14/2024
B
New York 11/14/2024
IA
Massachusetts 11/15/2024
B
Rhode Island 11/14/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
200 LINCOLN ST UNIT 201, BOSTON, MA 02111
Registered with this firm since 11/15/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
200 LINCOLN ST UNIT 201, BOSTON, MA 02111
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/20/2022 - 11/20/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) BOSTON, MA
B
 10/18/1991 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) BOSTON, MA
B
 10/18/1991 - 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.