Charles Kc Chan

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1997 → 09/2025
  Avantax Investment Services, Inc.
  Lexington, KY
• 08/1998 → 09/2025
  Avantax Insurance Agency, Llc
  Lexington, KY
• 06/2024 → 09/2025
  Avantax Advisory Services
  Lexington, KY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Lexington, KY
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2024-07-29 → 2025-09-05
  Avantax Advisory Services
  Lexington, KY
  Dallas, TX
• 1998-01-15 → 2018-08-24
  Avantax Advisory Services
  Lexington, KY

Other Businesses

1) Chan Tax & Financial Services~'NIR'~2613 Fairview Ct~lexington~KY~40513~Tax Preparation/Accounting~Owner/Sole Proprietor~1/19/2004~40hrs~40hrs~tax preparation 2) CHARLES KC CHAN POSITION: Owner/Sole Proprietor NATURE: Notary Public INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/18/2003 ADDRESS: 2613 Fairview Ct, Lexington KY 40513, United States DESCRIPTION: notary public

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-07-29
• S63 Uniform Securities Agent State Law Examination
  1997-07-12

Other Names

• Charles Kc Chan