Kenneth C 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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Hoboken, NJ
• 11/2016 → 04/2020
  Wells Fargo Clearing Services, Llc
  Hoboken, NJ
• 04/2020 → Present
  Lpl Financial, Llc
  Morganville, NJ

Previous Registrations

• 2004-01-06 → 2020-04-29
  Wells Fargo Clearing Services, Llc
  Bayonne, NJ
  Short Hills, NJ
  Union City, NJ
  North Bergen, NJ
  Mahwah, NJ
  Jersey City, NJ
  Union City, NJ
  Hoboken, NJ
  Hoboken, NJ
  Union City, NJ
  Bayonne, NJ
  Hoboken, NJ
  Weehawken, NJ
  North Bergen, NJ
  Jersey City, NJ
  Mahwah, NJ
  Short Hills, NJ
  Summit, NJ
  Weehawken, NJ
  Hoboken, NJ
  Paterson, NJ
  Union City, NJ
  Jersey City, NJ
  Jersey City, NJ

Other Businesses

1.04/22/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Gladstone Advisors; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 2.08/12/2026; 138 Capital LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 08/05/2026; 160hrs/mth; 120hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-30
• S63 Uniform Securities Agent State Law Examination
  1997-12-03