Haselkorn & Thibaut has opened an investigation into William Chan (CRD# 3103541), a broker and investment advisor registered with Citigroup Global Markets in Rowland Heights, California. If you are considering your options as an investor or have concerns regarding your accounts, this research report is designed to provide balanced, comprehensive, and actionable insights into this financial advisor’s record. Reviewing a financial professional’s regulatory background is an important step for any investor who values transparency and diligent oversight.
William Chan at Citigroup Global Markets: A Closer Look for Investors
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When selecting a financial advisor, especially for complex investments, an advisor’s track record can offer crucial insights into their suitability. William Chan’s record with Citigroup Global Markets shows a significant tenure in the securities industry, with more than 25 years of experience and extensive licensing across 24 states. However, reviewing the disclosure history and understanding recent developments can help investors make informed decisions.
Summary of Professional Background
- Name: William Chan
- CRD Number: 3103541
- Current Firm: Citigroup Global Markets
- Location: Rowland Heights, California
- Years of Experience: 25+
- State Registrations: 24 states
- Licenses & Exams: SIE, Series 6, 7, 24, 63, 65, and others
| Exam | Status |
|---|---|
| Securities Industry Essentials (SIE) | Active |
| General Securities Representative (Series 7) | Active |
| Uniform Securities Agent State Law (Series 63) | Active |
| Uniform Investment Adviser Law (Series 65) | Active |
| General Securities Principal (Series 24) | Active |
| Investment Company and Variable Contracts (Series 6) | Active |
Overview of Complaints Related to William Chan
While William Chan has demonstrated a longstanding career in the industry, there are complaint disclosures worth reviewing. The importance of transparency cannot be overstated, as each disclosure deserves careful consideration—especially when it comes to investor protection.
Detailed Review of Known Complaints
| Date Filed | Allegations | Status | Claimed Damages |
|---|---|---|---|
| March 2026 |
– Unsuitable structured note recommendations – Violation of California’s Blue Sky law – Negligence, supervisory failure – Alleged use of deceptive or manipulative methods – Fiduciary and contract breaches – Failure to act in the client’s best interest |
Pending | $550,000 |
| 2011 |
– Misinformation regarding account transfer – Alleged forgery of client’s signature |
Denied by firm | $6,178 |
Currently, the most significant pending complaint relates to a $550,000 claim filed in March 2026, alleging a range of violations—from unsuitable investment recommendations to broader breaches of regulatory and fiduciary standards. While an earlier complaint from 2011 was denied by the firm, its presence in the public record adds context for anyone reviewing this advisor’s background.
No Regulatory or Criminal Actions
- No disciplinary actions reported by FINRA, the SEC, or state securities regulators as of the most recent available records.
- No criminal or civil proceedings have been reported involving William Chan.
- No class actions or media investigations published that name William Chan (CRD 3103541).
For the most up-to-date records, investors are encouraged to review William Chan’s profile on FINRA BrokerCheck. Records can sometimes lag real-world events, so rechecking before making decisions is always a responsible step.
Red Flags and Considerations for Investors
With any claim or complaint, context is essential. Pending complaints, especially those involving allegations of unsuitable investments or failure to uphold a fiduciary duty, may be indicators that investors should seek independent advice. Even claims denied by the firm may warrant attention, as they reveal past client concerns.
- Complaints are not proof of wrongdoing, but they are important to consider as part of a complete due diligence process.
- Pending actions may lead to future findings, settlements, or further regulatory interest.
- Up-to-date research and legal consultations are prudent steps—particularly if you have worked with this advisor or own similar investments.
Takeaways for Current and Prospective Clients
Choosing a financial advisor involves an evaluation that goes beyond credentials and experience. Reviewing any history of customer complaints, paying attention to pending matters, and being proactive about understanding what those complaints involve can provide an additional layer of diligence. If you have invested with William Chan at Citigroup Global Markets, or are considering doing so, we encourage you to take this information into account.
Haselkorn & Thibaut, a leading law firm specializing in investment fraud, is actively investigating William Chan’s practices. Their attorneys have a 98% success rate, over 50 years’ combined experience, and have recovered millions for investors nationwide. Their “no recovery, no fee” policy means you can have your case evaluated with no upfront cost.
Next Steps: Request a Free, Confidential Consultation
If you believe you have suffered investment losses or have questions about your investment accounts with William Chan (CRD 3103541) or Citigroup Global Markets, call Haselkorn & Thibaut at 1-888-885-7162 today for a free and confidential consultation. There is no obligation and your information will remain private.
Remember—being proactive, informed, and seeking professional guidance can be your best defense as an investor. Get the answers you need and make your next steps with confidence.
