Yun-lieh Chuu

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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2019-11-08
TX	RA	APPROVED	2019-11-08

NC RA
APPROVED

Since 2019-11-08
TX RA
APPROVED

Since 2019-11-08

Branch Locations

Cary, NC • United States

9212 Falls Of Neuse Rd Ste 221, Raleigh, NC 27615 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Cary	NC	09/2006	Present

09/2006 → Present

Lpl Financial Llc

Cary, NC

Other Businesses

1. 9/11/06 HEALTH INSURANCE, TERM, UL AND LTC AND MEDICARE BENEFITS. 30% TIME SPENT 2. 04/27/2009-NON-VARIABLE INSURANCE-SELL FIXED INSURANCE. 3. 6/21/2017 - No Business Name - Investment Related - Cary, NC - Real Estate Rental - Started 06/16/2017 - 0 Hours Per Month. 4. 10/01/2019 - No business name - Investment related - Cary NC 27519 & Cary NC 27519 - Real Estate Rental - start date:08/08/2018 - 1 hr/mo - 0 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-12-04
S63	Uniform Securities Agent State Law Examination	2003-02-25

S65 Uniform Investment Adviser Law Examination

2017-12-04
S63 Uniform Securities Agent State Law Examination

2003-02-25

View on SEC IAPD