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Detailed Report
Mui Fan CHAN Graca
FANNIE GRACA, MUI-FAN CHAN GRACA
CRD#: 4180873
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2009 - 2015 (5 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 3600)2000 - 2009 (9 years)
License(s)

State Registrations

B
Alaska 3/20/2024
B
Missouri 3/20/2024
B
Arizona 7/28/2015
B
Nevada 5/8/2015
B
Arkansas 3/20/2024
B
New Hampshire 3/1/2023
B
California 4/21/2015
B
New Jersey 3/20/2024
IA
California 11/11/2015
B
New Mexico 3/20/2024
B
Colorado 3/20/2024
B
New York 5/8/2015
B
Connecticut 3/15/2023
B
North Carolina 9/15/2015
B
Delaware 5/15/2023
B
North Dakota 3/20/2024
B
District of Columbia 3/20/2024
B
Ohio 3/20/2024
B
Florida 7/29/2015
B
Oklahoma 3/20/2024
B
Georgia 5/17/2021
B
Oregon 7/28/2015
B
Hawaii 3/20/2024
B
Pennsylvania 3/20/2024
B
Idaho 2/4/2019
B
Rhode Island 3/20/2024
B
Illinois 10/2/2023
B
South Carolina 3/20/2024
B
Indiana 3/20/2024
B
South Dakota 5/15/2018
B
Iowa 3/20/2024
B
Tennessee 7/28/2015
B
Kansas 10/2/2023
B
Texas 5/8/2015
B
Kentucky 3/20/2024
IA
Texas 9/2/2015
B
Louisiana 3/20/2024
B
Utah 3/20/2024
B
Maine 9/15/2020
B
Vermont 3/20/2024
B
Maryland 3/20/2024
B
Virginia 8/19/2015
B
Massachusetts 5/8/2015
B
Washington 8/19/2015
B
Michigan 11/30/2021
B
Wisconsin 3/20/2024
B
Minnesota 3/20/2024
B
Wyoming 7/19/2021
B
Mississippi 3/20/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 9/2/2015
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Registered with this firm since 4/21/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 09/04/2009 - 04/16/2015 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) PASADENA, CA
B
 07/10/2000 - 09/04/2009 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:3600) PASADENA, CA
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.