Individual Firm
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FELIX JONATHAN KWAN
CRD#: 4572241
IA
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PRIME CAPITAL FINANCIALCRD#: 288712 2121 North California Blvd
Suite 290
Walnut Creek, CA 94596
Suite 290
Walnut Creek, CA 94596
0
Disclosures
22
Years of Experience
View By:
State Registrations
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California 8/2/2024
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Texas 8/2/2024
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Registered with this firm since 8/2/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/01/2018 - 08/29/2024 | Walnut Creek, CA | |
IA | 05/21/2012 - 11/01/2018 | WALNUT CREEK, CA | |
B | 04/22/2016 - 10/31/2018 | WALNUT CREEK, CA | |
B | 05/18/2012 - 04/22/2016 | WALNUT CREEK, CA | |
IA | 06/27/2006 - 04/25/2012 | BERKELEY, CA | |
B | 06/06/2006 - 04/20/2012 | BERKELEY, CA | |
B | 10/04/2004 - 04/26/2006 | SAN RAMON, CA | |
IA | 01/02/2004 - 09/03/2004 | SAN JOSE, CA | |
B | 01/02/2004 - 09/03/2004 | SPRINGFIELD, MA | |
IA | 11/14/2002 - 12/08/2003 | DUBLIN, CA | |
B | 10/17/2002 - 12/08/2003 | OVERLAND PARK, KS |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.