Katy Chai

Current Employers

Employment History

• 05/2018 → 02/2024
  Mml Investor Services, Llc
  Costa Mesa, CA
• 05/2018 → 02/2024
  Massmutual Life Insurance Co
  Costa Mesa, CA
• 09/2007 → 03/2017
  Deloitte Consulting
  New York, NY
• 04/2017 → 04/2018
  Unemployed
  Huntington Beach, CA
• 02/2024 → Present
  Sovran Advisors Llc - Crd 329415
  Costa Mesa, CA
• 02/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 02/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-07-17 → 2024-03-06
  Mml Investors Services, Llc
  Costa Mesa, CA

Other Businesses

1. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415 INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM; POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE; START DATE: 02/2024; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 40; BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT; 2. NAME OF OTHER BUSINESS: RENTAL PROPERTY; INVESTMENT RELATED: NO; ADDRESS: LOS ANGELES, CA 90034; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 07/2005; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: LANDLORD OF SIMPLE RENTAL PROPERTY 3. NAME OF OTHER BUSINESS: KATY CHAI; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INSURANCE BROKERAGE/GROUP HEALTH; START DATE: 07/2018; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: OFFER LIFE AND HEALTH INSURANCE PRODUCTS FOR SALE; 4. NAME OF OTHER BUSINESS: KATY CHAI FINANCIAL; INVESTMENT RELATED: NO; ADDRESS: HUNTINGTON BEACH, CA 92646; NATURE OF BUSINESS: CORPORATION FOR BUSINESS/TAX PURPOSES; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: THIS S-CORP WAS CREATED FOR BUSINESS TAX PURPOSES ONLY AND WILL NOT BE PUBLIC FACING; 5. NAME OF OTHER BUSINESS: DIRECTPATH PLANNING INVESTMENTS INSURANCE SOLUTIONS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 12/2021; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: SOLICIT POTENTIAL CLIENTS, PROVIDE FINANCIAL PLANNING/ADVICE; 6. NAME OF OTHER BUSINESS: CLARITY LANE DIVORCE SOLUTIONS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: DIVORCE FINANCIAL ANALYSIS; START DATE: 02/2024; POSITION/TITLE/RELATIONSHIP: PRESIDENT/OWNER; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 20; BRIEF DESCRIPTION OF DUTIES: PROVIDE CLIENTS WITH FINANCIAL ANALYSIS TO SUPPORT FINANCIAL DECISIONS MADE WHILE UNDERGOING DIVORCE;

Exams

• S66 Uniform Combined State Law Examination
  2018-06-28