Individual Firm
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Peter Chak
Peter Wai Lok Chak
CRD#: 6569142
IA
B
MARINER WEALTHCRD#: 140195 San Francisco, CA
0
Disclosures
9
Years of Experience
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State Registrations
IA
California 4/2/2024
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/09/2020 - 03/28/2024 | San Francisco, CA | |
IA | 03/08/2024 - 03/27/2024 | San Francisco, CA | |
B | 09/29/2023 - 03/27/2024 | San Francisco, CA | |
B | 04/09/2020 - 09/29/2023 | San Francisco, CA | |
IA | 01/19/2016 - 04/01/2020 | SAN FRANCISCO, CA | |
B | 12/14/2015 - 04/01/2020 | SAN FRANCISCO, CA |
SAN FRANCISCO, CA
01/19/2016 - 04/01/2020
SAN FRANCISCO, CA
12/14/2015 - 04/01/2020
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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.