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LIGIA CAROLINA CHAN
CAROLINA L. CHAN, LIGIA CAROLINA SANTIAGO
CRD#: 4615659
IA
B
MORGAN STANLEYCRD#: 149777 200 South Biscayne Boulevard
Suite 1100
Miami, FL 33131
Suite 1100
Miami, FL 33131
0
Disclosures
19
Years of Experience
View By:
State Registrations
B
California 4/19/2021
B
New York 4/19/2021
B
Colorado 3/20/2024
B
North Carolina 6/10/2021
B
Delaware 3/20/2024
B
North Dakota 3/20/2024
B
Florida 4/19/2021
B
Pennsylvania 1/31/2025
IA
Florida 4/20/2021
B
South Dakota 3/20/2024
B
Georgia 4/19/2021
B
Texas 4/19/2021
B
Illinois 1/2/2024
IA
Texas 4/20/2021
B
Louisiana 3/20/2024
B
Virgin Islands 3/20/2024
B
Massachusetts 3/20/2024
B
Washington 3/20/2024
B
New Mexico 3/20/2024
B
Wyoming 3/20/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 4/20/2021
B
Registered with this firm since 4/19/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/12/2018 - 04/23/2021 | MIAMI, FL | |
B | 09/29/2017 - 04/23/2021 | MIAMI, FL | |
B | 01/06/2010 - 10/26/2017 | MIAMI, FL | |
B | 02/29/2008 - 12/10/2009 | MIAMI, FL | |
B | 08/11/2003 - 09/30/2005 | MINNEAPOLIS, MN | |
B | 12/17/2002 - 04/22/2003 | MIAMI, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.