Erez Law is interested in speaking with investors who may have suffered losses due to investments with Avantax Investment Services, Inc. broker Charles Chan (CRD# 2894827). He has been registered with Cetera Wealth Services, LLC in Lexington, Kentucky, since 2025, and Cetera Investment Advisers LLC in Lexington, Kentucky, since 2025. He was registered with Avantax Advisory Services in Lexington, Kentucky, from 2024 to 2025, Avantax Investment Services, Inc. in Lexington, Kentucky, from 1997 to 2025, and H.D. Vest Advisory Services, Inc. in Lexington, Kentucky, from 1998 to 2018.
Charles Chan Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
February 2026. “Claimants allege unsuitable recommendations and excessive concentration risk.” The customer is seeking $108,000 in damages, and the case is currently pending. The complaint was regarding stock losses, and it took place while he was registered with Avantax Investment Services, Inc.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Avantax Investment Services, Inc. may be liable for investment or other losses suffered by Charles Chan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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