Tat Chan

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 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:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-04-22
TX	RA	APPROVED	2025-04-22

CA RA
APPROVED

Since 2025-04-22
TX RA
APPROVED

Since 2025-04-22

Branch Locations

Pasadena, 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

Organization	City	State	From	To
Hsbc Bank Usa National Association	San Gabriel	CA	07/2017	01/2022
Hsbc Securities (Usa) Inc.	San Gabriel	CA	07/2017	01/2022
Hsbc Hong Kong	Hong Kong		05/2008	07/2017
New York Life Insurance Co.	Pasadena	CA	04/2023	10/2023
Basel Capital	Bellevue	WA	01/2022	03/2023
Nylife Securities Llc	Glendale	CA	05/2023	10/2023
Principal Life Insurance Company	Costa Mesa	CA	10/2023	Present
Principal Securities, Inc.	Costa Mesa	CA	10/2023	Present

07/2017 → 01/2022

Hsbc Bank Usa National Association

San Gabriel, CA
07/2017 → 01/2022

Hsbc Securities (Usa) Inc.

San Gabriel, CA
05/2008 → 07/2017

Hsbc Hong Kong

Hong Kong
04/2023 → 10/2023

New York Life Insurance Co.

Pasadena, CA
01/2022 → 03/2023

Basel Capital

Bellevue, WA
05/2023 → 10/2023

Nylife Securities Llc

Glendale, CA
10/2023 → Present

Principal Life Insurance Company

Costa Mesa, CA
10/2023 → Present

Principal Securities, Inc.

Costa Mesa, CA

Previous Registrations

2024-01-09 → 2025-04-02

Principal Securities, Inc.

Irvine, CA

Pasadena, CA

Other Businesses

**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/08/2023 ADDRESS: 575 Anton Blvd, Suite 900, Costa Mesa CA 92626, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **TAT CHAN POSITION: Tat Chan NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: 11116 SE 214th ST, Kent WA 98031, United States DESCRIPTION: rental income **SEED CAPITAL LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/17/2025 ADDRESS: 448 s oakland ave, unit 1, pasadena CA 91101, United States DESCRIPTION: The company will be investing in a restaurant as a Limited Partner.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-01-05
S63	Uniform Securities Agent State Law Examination	2017-09-05

S65 Uniform Investment Adviser Law Examination

2024-01-05
S63 Uniform Securities Agent State Law Examination

2017-09-05

Other Names

Alfred Chan
Tat Wah Chan

View on SEC IAPD