Simon K 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

• 01/2013 → 03/2017
  Hsbc Securities (Usa) Inc.
  New York, NY
• 08/2016 → 03/2017
  Hsbc Bank Usa, N.A.
  New York, NY
• 04/2017 → 04/2020
  United Nations Federal Credit Union Advisors
  New York, NY
• 04/2017 → 05/2018
  Raymond James Financial Services, Inc.
  New York, NY
• 04/2017 → 05/2018
  Raymond James Financial Services Advisors Inc.
  New York, NY
• 04/2017 → 05/2018
  Icc
  New York, NY
• 04/2017 → 05/2018
  Crump
  New York, NY
• 04/2018 → 06/2020
  Community America Financial Solutions Llc
  Lenexa, KS
• 05/2020 → 07/2021
  Citigroup Global Markets Inc.
  New York, NY
• 08/2021 → 07/2025
  Insight Securities, Inc
  El Paso, TX
• 07/2025 → Present
  East West Bank
  New York, NY
• 07/2025 → Present
  Cetera Investment Services Llc
  St Cloud, MN
• 07/2025 → Present
  Cetera Investment Advisers Llc
  New York, NY

Previous Registrations

• 2021-08-05 → 2025-08-08
  Insight Securities, Inc.
  Brooklyn, NY
  El Paso, TX
• 2020-07-06 → 2021-07-20
  Citigroup Global Markets Inc.
  New York, NY
  Brooklyn, NY
  Bay Shore, NY
  New York, NY
  Brooklyn, NY
  Fort Lee, NJ
  New York, NY
  New York, NY
• 2018-08-02 → 2020-06-03
  Unfcu Advisors Llc
  New York, NY
• 2017-05-01 → 2018-05-02
  Raymond James Financial Services Advisors, Inc
  New York, NY
• 2013-01-24 → 2017-03-22
  Hsbc Securities (Usa) Inc.
  New York, NY
  New York, NY
• 2010-01-28 → 2012-09-28
  Hsbc Securities (Usa) Inc.
  New York, NY

Exams

• S66 Uniform Combined State Law Examination
  2010-01-27

Other Names

• Simon K Chan