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Kwai Yun Chan

Charles Schwab & Co., Inc.

Forest Hills, NY

Garden City, NY

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-30
  • NY RA
    APPROVED
    Since 2021-11-30

Branch Locations

72-19 Austin St Ground Floor, Forest Hills, NY 11375 • United States

600 Old Country Road, Garden City, NY 11530-2045 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade, Inc. New York NY 04/2010 02/2018
Td Ameritrade, Inc. Forest Hills NY 02/2018 06/2024
Td Ameritrade Investment Management, Llc Forest Hills NY 02/2018 11/2021
Charles Schwab & Co., Inc. Forest Hills NY 11/2021 Present
Charles Schwab Bank, Ssb Forest Hills NY 11/2021 Present
Scottrade Investment Management New York NY 03/2017 02/2018
  • 04/2010 → 02/2018
    Scottrade, Inc.
    New York, NY
  • 02/2018 → 06/2024
    Td Ameritrade, Inc.
    Forest Hills, NY
  • 02/2018 → 11/2021
    Td Ameritrade Investment Management, Llc
    Forest Hills, NY
  • 11/2021 → Present
    Charles Schwab & Co., Inc.
    Forest Hills, NY
  • 11/2021 → Present
    Charles Schwab Bank, Ssb
    Forest Hills, NY
  • 03/2017 → 02/2018
    Scottrade Investment Management
    New York, NY
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Flushing, NY
    Garden City, NY
    Forest Hills, NY
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Flushing, NY
    Garden City, NY
    Forest Hills, NY
  • 2017-03-29 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2010-02-23 → 2010-04-19
    Hsbc Securities (Usa) Inc.
    Elmhurst, NY
  • 2009-07-21 → 2009-07-30
    Hsbc Securities (Usa) Inc.
    New York City, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-20
S63 Uniform Securities Agent State Law Examination 2000-05-19
  • S65 Uniform Investment Adviser Law Examination
    2009-07-20
  • S63 Uniform Securities Agent State Law Examination
    2000-05-19
Other Names
  • Kwai Yun Chan
  • Kwai Chan
  • Clara Chan

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CITIZENS SECURITIES, INC.

Other Investors

THOMAS JAMES HORAN
Matthew Ryan Seymour
CRAIG ADAM BERGEN
Joshua T Bergen
EDWARD SECKER
KELVIN ACEVEDO-LIZ
Sudev Singh
ABIGAIL PAMANANO NEPOMUCENO

Other Offices

ACORN CAPITAL PARTNERS, LLC · FOREST HILLS, NY
LPL FINANCIAL LLC · FOREST HILLS, NY
LPL FINANCIAL LLC · FOREST HILLS, NY
AMERIPRISE FINANCIAL SERVICES, LLC · FOREST HILLS, NY
CITIGROUP GLOBAL MARKETS INC. · FOREST HILLS, NY
CETERA INVESTMENT ADVISERS LLC · FOREST HILLS, NY
J.P. MORGAN SECURITIES LLC · FOREST HILLS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOREST HILLS, NY

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