Shirley Chan

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → Present
  Lpl Financial Llc
  Chicago, IL

Other Businesses

1. 12/30/2019 - Chan & Associates Selections - Not Investment Related - Home Based - Other-Business Owner - Started 11/10/2019 - 5 Hours Per Month/0 Hours During Securities Trading - Attending wine tasting and provide basic level of wine education to friends and referrals. 2. 05/30/2024 - SWC Financial Group - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 5/1/2024 - 160 Hrs/Mo; 80 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2011-04-15
• S63 Uniform Securities Agent State Law Examination
  2001-12-28

Other Names

• Way Fun Chan
• Shirley Tung