Charles Chan
Charles Chan is a registered investment advisor at Cetera Investment Advisers LLC, based in Lexington, KY, with 28 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Lexington, KY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Charles is a tax preparer/accountant and owner of Chan Tax & Financial Services since 2004, dedicating about a quarter of his time. He is also a notary public and an insurance agent selling Avantax insurance products, spending minimal time on each of these activities.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
H.D. Vest Advisory Services, INC
Avantax Investment Services, INC.Broker
State Registrations1 state
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