Director, Advisory Compliance
Current
Aug 2023 - Present
AeroLeads people directory · profile
Alex Chan Email & Phone Number
Compliance Leader
at
Cetera Financial Group
2 work emails found
@securian.com
1 phone found area 651
LinkedIn matched
4 data sources
Profile completeness 100%
Current company
Role
Compliance Leader
Location
St Paul, Minnesota, United States
Company size
Who is Alex Chan? Overview
A concise factual answer block for searchers comparing this professional profile.
Quick answer
Alex Chan is listed as Compliance Leader at Cetera Financial Group, a company with 501 employees, based in St Paul, Minnesota, United States. AeroLeads shows a work email signal at securian.com, phone signal with area code 651, and a matched LinkedIn profile for Alex Chan.
Alex Chan previously worked as Director, Advisory Compliance at Cetera Financial Group and Senior Manager/Manager, Compliance at Securian Financial Group. Alex Chan holds J.D. from University Of Missouri-Columbia, School Of Law.
Company email context
Email format at Cetera Financial Group
This section adds company-level context without repeating Alex Chan's masked contact details.
{first_initial}{last}@securian.com
79% confidence
AeroLeads found 2 current-domain work email signals for Alex Chan. Compare company email patterns before reaching out.
Profile bio
About Alex Chan
I am a compliance expert looking to exchange practical best practices to help efficiently and effectively manage risk. I have led advertising compliance, branch office exam, and investment advisory compliance teams. I have expertise and experience in: advertising compliance, field supervisor training, branch office exams, regulatory examination, new rules/regulation analysis, investment due diligence, 206 (4)-7 compliance program, general supervision of advisor activities, and policy and procedures creation.Registrations: 4, 7, 24, 53, 66Designations:AIF ®
Listed skills include Insurance, Finra, Sec, Due Diligence, and 30 others.
Current workplace
Alex Chan's current company
Company context helps verify the profile and gives searchers a useful next step.
Cetera Financial Group
4 roles
Alex Chan work experience
A career timeline built from the work history available for this profile.
Senior Manager/Manager, Compliance
Oversee creation and implementation of various compliance policies and procedures.Provide strategic advice to business leaders on compliance and regulatory matters.Manage audit team responsible for branch office and OSJ examinations.Manage team responsible for RIA compliance including compliance program, disclosure, and business practices.Develop responses.
Jan 2014 - Aug 2023
Supervisor, Advertising Compliance
Manage advertising compliance team for insurance company affiliated B/D and SEC registered RIA.Evaluate, create, and implement, registered investment adviser compliance policies, investment management agreements, disclosure documents, compliance program, policies and procedures manuals, and regulatory filings. Helf firm prepare for and respond to SEC.
Jul 2010 - Dec 2013
Senior Analyst/Analyst, Advertising Compliance
Approve and file with FINRA, when necessary, retail, institutional, and internal communications created by affiliate life insurance company, trust company, broker dealer/registered investment advisor, and financial advisor field force. Review complex tax and estate planning materials and sales strategies.Evaluate, create, and implement, registered.
Apr 2006 - Jul 2010
Team & coworkers
Colleagues at Cetera Financial Group
Other employees you can reach at cetera.com. View company contacts for 501 employees →
HA
Hector A. Mena
Colleague at Cetera Financial Group
Lake Worth, Florida, United States, United States
View →
BT
Brad Thomas
Colleague at Cetera Financial Group
Southfield, Michigan, United States, United States
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LK
Leann Kemper
Colleague at Cetera Financial Group
St Cloud, Minnesota, United States, United States
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FB
Farathunnissa Begum
Colleague at Cetera Financial Group
Charlotte, North Carolina, United States, United States
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MM
Mike M.
Colleague at Cetera Financial Group
Denver Metropolitan Area, United States, United States
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KH
Katelyn Handgis
Colleague at Cetera Financial Group
San Diego, California, United States, United States
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MO
Md Osama
Colleague at Cetera Financial Group
United States, United States
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JM
John Mchale
Colleague at Cetera Financial Group
Torrance, California, United States, United States
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PB
Payton Boesch
Colleague at Cetera Financial Group
Des Moines, Iowa, United States, United States
View →
JP
Jeweliana Perez
Colleague at Cetera Financial Group
San Diego, California, United States, United States
View →
Hector A. Mena
Colleague at Cetera Financial Group
Lake Worth, Florida, United States, United States
View →
BT
Brad Thomas
Colleague at Cetera Financial Group
Southfield, Michigan, United States, United States
View →
LK
Leann Kemper
Colleague at Cetera Financial Group
St Cloud, Minnesota, United States, United States
View →
FB
Farathunnissa Begum
Colleague at Cetera Financial Group
Charlotte, North Carolina, United States, United States
View →
MM
Mike M.
Colleague at Cetera Financial Group
Denver Metropolitan Area, United States, United States
View →
KH
Katelyn Handgis
Colleague at Cetera Financial Group
San Diego, California, United States, United States
View →
MO
Md Osama
Colleague at Cetera Financial Group
United States, United States
View →
JM
John Mchale
Colleague at Cetera Financial Group
Torrance, California, United States, United States
View →
PB
Payton Boesch
Colleague at Cetera Financial Group
Des Moines, Iowa, United States, United States
View →
JP
Jeweliana Perez
Colleague at Cetera Financial Group
San Diego, California, United States, United States
View →
3 education records
Alex Chan education
J.D.
University Of Missouri-Columbia, School Of Law
Transfer
University Of Dayton School Of Law
B.A., Chemistry, History
Gustavus Adolphus College
FAQ
Frequently asked questions about Alex Chan
Quick answers generated from the profile data available on this page.
What company does Alex Chan work for?
Alex Chan works for Cetera Financial Group.
What is Alex Chan's role at Cetera Financial Group?
Alex Chan is listed as Compliance Leader at Cetera Financial Group.
What is Alex Chan's email address?
AeroLeads has found 2 work email signals at @securian.com for Alex Chan at Cetera Financial Group.
What is Alex Chan's phone number?
AeroLeads has found 1 phone signal(s) with area code 651 for Alex Chan at Cetera Financial Group.
Where is Alex Chan based?
Alex Chan is based in St Paul, Minnesota, United States while working with Cetera Financial Group.
What companies has Alex Chan worked for?
Alex Chan has worked for Cetera Financial Group and Securian Financial Group.
Who are Alex Chan's colleagues at Cetera Financial Group?
Alex Chan's colleagues at Cetera Financial Group include Hector A. Mena, Brad Thomas, Leann Kemper, Farathunnissa Begum, and Mike M..
How can I contact Alex Chan?
You can use AeroLeads to view verified contact signals for Alex Chan at Cetera Financial Group, including work email, phone, and LinkedIn data when available.
What schools did Alex Chan attend?
Alex Chan holds J.D. from University Of Missouri-Columbia, School Of Law.
What skills is Alex Chan known for?
Alex Chan is listed with skills including Insurance, Finra, Sec, Due Diligence, Investment Advisers Act, Securities Regulation, Compliance Management, and Supervision.
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