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Tat Chan
Alfred Chan, Tat Wah Chan
CRD#: 6829136
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 575 ANTON BLVD STE 900
COSTA MESA, CA 92626
COSTA MESA, CA 92626
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1/18/2022
Employment Separation After Allegations
State Registrations
B
California 10/25/2023
B
New York 10/25/2023
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California 1/10/2024
B
Texas 10/25/2023
B
Georgia 3/19/2024
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Texas 1/9/2024
B
Nevada 6/12/2024
B
Washington 10/25/2023
B
New Hampshire 12/5/2024
SRO Registrations
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Registered with this firm since 1/9/2024
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Registered with this firm since 10/25/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/26/2023 - 10/19/2023 | GLENDALE, CA | |
B | 08/14/2017 - 02/08/2022 | San Gabriel, CA |
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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.
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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.
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