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Tracy Lynn Chan

Citigroup Global Markets Inc.

San Francisco, CA

Los Angeles, CA

San Francisco, CA

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-07-01
  • CA RA
    APPROVED
    Since 2022-07-01

Branch Locations

Citi Private Bank 1 Market Plaza, 42Nd Floor, San Francisco, CA 94105 • United States

Citi Private Bank 300 South Grand Avenue, 31St Floor, Suite 3130, Los Angeles, CA 90071 • United States

San Francisco, CA • 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
Hsbc Bank Usa, N.A. San Francisco CA 04/2020 02/2022
Hsbc Securities (Usa) Inc. San Francisco CA 11/2019 04/2020
Citigroup San Francisco CA 04/2022 Present
Hsbc Bank Usa N.A San Francisco CA 11/2015 11/2019
  • 04/2020 → 02/2022
    Hsbc Bank Usa, N.A.
    San Francisco, CA
  • 11/2019 → 04/2020
    Hsbc Securities (Usa) Inc.
    San Francisco, CA
  • 04/2022 → Present
    Citigroup
    San Francisco, CA
  • 11/2015 → 11/2019
    Hsbc Bank Usa N.A
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-01
S63 Uniform Securities Agent State Law Examination 2013-10-10
  • S66 Uniform Combined State Law Examination
    2022-07-01
  • S63 Uniform Securities Agent State Law Examination
    2013-10-10
Other Names
  • Tracy Chan
  • Tracy Lynn Chan

View on SEC IAPD

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