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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

ANDREW CHAN

Advisor at CITIGROUP GLOBAL MARKETS INC.

Pasadena, CA | Irvine, CA

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Search this name across graphsid dfx:ria:f1bb82d4-b587-8fee-f2b2-087fe7e906b7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2008 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: CITIGROUP GLOBAL MARKETS INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 25, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 25, 2008
First registration: Apr 2, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4984181

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
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 21, 2024	n/a	yes	Pasadena, CA\|Pasadena, CA\|Irvine, CA\|Irvine, CA	Current employment
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 2, 2018	Jan 26, 2024	no	Irvine, CA\|Rancho Mission Viejo, CA\|MISSION VIEJO, CA\|LAKE FOREST, CA\|LAKE FOREST, CA\|FOOTHILL RANCH, CA\|MISSION VIEJO, CA\|LAGUNA HILLS, CA\|MISSION VIEJO, CA\|LAGUNA HILLS, CA\|RANCHO SANTA MARGARITA, CA\|DANA POINT, CA\|Laguna Niguel, CA\|ALISO VIEJO, CA\|LADERA RANCH, CA\|SAN JUAN CAPISTRANO, CA\|MISSION VIEJO, CA\|MISSION VIEJO, CA\|LAGUNA HILLS, CA\|LAGUNA HILLS, CA\|LAGUNA NIGUEL, CA\|SAN CLEMENTE, CA\|SAN CLEMENTE, CA\|SAN CLEMENTE, CA\|LAGUNA NIGUEL, CA\|LAGUNA BEACH, CA\|LAGUNA BEACH, CA\|LAGUNA NIGUEL, CA\|Irvine, CA\|IRVINE, CA\|Irvine, CA\|COSTA MESA, CA\|IRVINE, CA\|Irvine, CA\|COSTA MESA, CA\|IRVINE, CA\|NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|Newport Beach, CA\|IRVINE, CA\|IRVINE, CA\|CORONA DEL MAR, CA\|Newport Coast, CA\|FOUNTAIN VALLEY, CA\|IRVINE, CA\|IRVINE, CA\|IRVINE, CA\|IRVINE, CA\|NEWPORT BEACH, CA\|IRVINE, CA\|SANTA ANA, CA\|Dana Point, CA\|IRVINE, CA\|IRVINE, CA\|Irvine, CA\|Newport Coast, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 12, 2011	Jan 31, 2018	no	CORONA DEL MAR, CA\|MISSION VIEJO, CA\|IRVINE, CA\|IRVINE, CA\|NEWPORT BEACH, CA\|MISSION VIEJO, CA\|NEWPORT BEACH, CA\|MISSION VIEJO, CA\|LADERA RANCH, CA\|NEWPORT BEACH, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 9, 2011	no	Laguna Niguel, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 2, 2008	Jun 1, 2009	no	LAGUNA NIGUEL, 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
J.P. MORGAN SECURITIES LLC	CITIGROUP GLOBAL MARKETS INC.	Jan 26, 2024	Feb 21, 2024	26	Firm change	Wirehouse to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Jan 31, 2018	Feb 2, 2018	2	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 9, 2011	Oct 12, 2011	33	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
79:7059:CA:2024-01-18	Jan 26, 2024	Feb 21, 2024	NEWPORT COAST, CA	Firm change
7691:79:CA:2018-01-29	Jan 31, 2018	Feb 2, 2018	NEWPORT BEACH, CA	Firm change

Relationships

Registered with (4)

→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 2, 2008 to Jun 1, 2009factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Feb 2, 2018 to Jan 26, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 12, 2011 to Jan 31, 2018factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 9, 2011factForm ADV

Dated events

Occurred
Jan 26, 2024
Advisor changed firm
Andrew Chan left J.P. Morgan Securities Llc for Citigroup Global Markets Inc. (registered 2024-02-21)
Form ADVobserved 5 days ago