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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

TRACY ALBERT CHAN

Advisor at WELLS FARGO ADVISORS

PASADENA, CA

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Search this name across graphsid dfx:ria:257cc9fa-0eaf-7518-495a-7af35efb1c58

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 13, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 11, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Apr 11, 2009
First registration: Apr 13, 2009
Dual registered: yes, broker-dealer
Other names: TRACY ALBERT CHAN|TRACY ALBERT CHAN|TRACY CHAN
IAPD individual key: 5610097

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Jan 20, 2026	n/a	yes	PASADENA, CA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 21, 2021	Jan 21, 2026	no	PASADENA, CA\|LAS VEGAS, NV	Previous registration
WADDELL & REED	Former SEC adviser	Feb 18, 2021	Jul 21, 2021	no	LAS VEGAS, NV\|PASADENA, CA	Previous registration
MORGAN STANLEY	Wirehouse	Sep 12, 2014	Mar 8, 2021	no	Pasadena, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Apr 13, 2009	Sep 12, 2014	no	PASADENA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Jan 21, 2026	Jan 20, 2026	-1	Firm change	Ibd to wirehouse
WADDELL & REED	LPL FINANCIAL LLC	Jul 21, 2021	Jul 21, 2021	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	WADDELL & REED	Mar 8, 2021	Feb 18, 2021	-18	Firm change	Wirehouse to ibd
WELLS FARGO ADVISORS	MORGAN STANLEY	Sep 12, 2014	Sep 12, 2014	0	Firm change	Wirehouse to wirehouse

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 20, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 21, 2021 to Jan 21, 2026factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Feb 18, 2021 to Jul 21, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 12, 2014 to Mar 8, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 13, 2009 to Sep 12, 2014factForm ADV

Dated events

Occurred
Jan 21, 2026
Advisor changed firm
Tracy Albert Chan left Lpl Financial Llc for Wells Fargo Advisors (registered 2026-01-20)
Form ADVobserved 6 days ago