James Tan (CRD# 4136332) is an Investment Advisor Representative working at First Look Capital Management, LLC in Gunnison, CO and has over 23 years of experience in the finance industry.
CRD# 1099588
Ameriprise Financial Services, LLC
CRD# 4930022
Transamerica Financial Advisors, Inc.
CRD# 715423
Ubs Financial Services Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| First Look Capital Management, LLC | Austin, TX | Sep 2014 - Current | 9 |
| Unemployed | Austin, TX | Apr 2014 - Aug 2014 | < 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 2000 |
| S66 | NASAA Uniform Combined State Law Examination | Mar 2003 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CO
- TX
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Total Assets Under Management78MILLIONS
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Total Number of Accounts232ACCOUNTS
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Average Account Value$334,190
- A percentage of assets under your management
- Hourly charges
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
CO, LA, TX
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