Pengnian Chu

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
CA	RA	APPROVED	2021-07-21
NV	RA	APPROVED	2021-07-21
NJ	RA	APPROVED	2021-07-21
WA	RA	APPROVED	2021-07-21

CA RA
APPROVED

Since 2021-07-21
NV RA
APPROVED

Since 2021-07-21
NJ RA
APPROVED

Since 2021-07-21
WA RA
APPROVED

Since 2021-07-21

Branch Locations

1 Pointe Dr., Ste 240, Brea, CA 92821 • 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
Various Insurance Carriers	Irvine	CA	04/2005	07/2021
Waddell & Reed Inc	Brea	CA	04/2005	07/2021
Lpl Financial Llc	Brea	CA	07/2021	Present

04/2005 → 07/2021

Various Insurance Carriers

Irvine, CA
04/2005 → 07/2021

Waddell & Reed Inc

Brea, CA
07/2021 → Present

Lpl Financial Llc

Brea, CA

Previous Registrations

2005-06-07 → 2021-07-21

Waddell & Reed

Brea, CA

Brea, CA

Riverside, CA

Las Vegas, NV

Brea, CA

Other Businesses

1. 07/22/2024 - Ivy Capitals LLC - Real Estate Rental - Investment Related - Arlington, TX - Start Date 10/31/2016 - 0 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-06-06

S66 Uniform Combined State Law Examination

2005-06-06

Designations

Certified Financial Planner

Other Names

Kevin Chu
Peng Nian Chu
Kevin P. N. Chu

View on SEC IAPD