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Karen Ho Ling Chan

Mml Investors Services, LLC

Alhambra, CA

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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-12-11
  • CA RA
    APPROVED
    Since 2024-12-11

Branch Locations

100 E Huntington Drive Ste 100, Alhambra, CA 91801 • 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
Massachusetts Mutual Life Insurance Co Alhambra CA 01/2016 Present
Mml Investors Services, Llc Alhambra CA 04/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-03
S65 Uniform Investment Adviser Law Examination 2015-09-25
S63 Uniform Securities Agent State Law Examination 2014-04-28
  • S66 Uniform Combined State Law Examination
    2024-12-03
  • S65 Uniform Investment Adviser Law Examination
    2015-09-25
  • S63 Uniform Securities Agent State Law Examination
    2014-04-28
Other Names
  • Karen Chan

View on SEC IAPD

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Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Alhambra, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA
J.P. MORGAN SECURITIES LLC · ALHAMBRA, CA
WELLS FARGO CLEARING SERVICES, LLC · ALHAMBRA, CA
CETERA INVESTMENT ADVISERS LLC · ALHAMBRA, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Alhambra, CA
BLUE CANYON WEALTH · SOUTH PASADENA, CA
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · SOUTH PASADENA, CA

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