John Tan is a registered investment advisor, based in New York, NY, with 11 years of industry experience.
Location
11 Madison Avenue, New York, NY, 10010
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Regulatory History
Clean regulatory record
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 →Employment History
Current Registrations
UBS Securities LLCBroker
August 2023 - Present · 2 yrs 9 mos
UBS Financial Services INC.
January 2021 - Present · 5 yrs 4 mos
UBS Financial Services INC.Broker
November 2019 - Present · 6 yrs 6 mos
Previous Registrations
Wells Fargo Securities, LLCBroker
August 2017 - May 2018 · 9 mos
Wells Fargo Prime Services, LLCBroker
August 2014 - August 2017 · 3 yrs
Kcg Americas LLCBroker
September 2012 - August 2014 · 1 yr 11 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.