Shirley Tan, financial advisor Pasadena CA
93 score

Shirley Tan

CRD Number: 5562662
Current Firm: Lake Avenue Financial, LLC

Shirley Tan (CRD# 5562662) is an Investment Advisor Representative working at Lake Avenue Financial, LLC in Pasadena, CA and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Lake Avenue Financial, LLC Pasadena, CA Feb 2016 - Current < 1
Lpl Financial Pasadena, CA Jan 2016 - Current < 1
Ameriprise Financial Services Inc. Glendale, CA Jul 2008 - Current 8
Moneyline Mto Glendale, CA Feb 1992 - Current 24
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2008
Disclosure Information

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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Shirley C. Tan
Phone Number: 866-528-3660
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
Types of Clients
Registered States


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