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Addie Chan

Description

Addie Chan a financial professional at Morgan Stanley Smith Barney LLC, a broker-dealer with over 24,100 registered representatives nationwide. Addie has held an industry securities registration for 12 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Addie Chan has not answered any questions on Financial Q&A.

Top Guides

Addie Chan has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other Pooled Investment Vehicles
Charitable Organizations
Corporations or Other Businesses
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Morgan Stanley Smith Barney 3 years, 11 months Jun 2009 - Present
Citigroup Global Markets Inc. 8 years, 9 months Aug 2004 - Present
Citibank 1 year, 9 months Nov 2002 - Aug 2004
Americal Securities, Inc. 3 months Aug 2002 - Nov 2002
Charles Schwab & Co., Inc. 1 year, 10 months Oct 2000 - Aug 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/27/2011, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found
As of Date
06/27/2011
06/27/2011
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 08/26/2004
Uniform Securities Agent State Law Examination Series 63 01/12/1998
General Securities Representative Examination Series 7 12/23/1997

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: SEE SCHEDULE D MISCELLANEOUS