Norbert Yuchiu Chen

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

• 04/2004 → Present
  Lpl Financial Llc
  Cerritos, CA

Other Businesses

(1) 05/12/2004: No Business Name - Non-Variable Insurance - INV REL - At Reported Business Location(s) - FIXED INSURANCE. (2) 11/25/2015: No Business Name - Real Estate Rental - INV REL - Cerritos, CA 90703 - Started 5/1/2014 - 2hrs/mo. - 0hrs during trading. (3) 12/21/2015: IBIS Insurance Services - Property and Casualty - INV REL - At Reported Business Location(s) - Started 09/01/2004 - 10hrs/mo. - 2hrs during trading. (4) 07/08/2024: Non-Inv Related - Virtual - Other - Private Tutoring - Started: 7/9/2024 - 10 Hrs/Mo; 0 Hrs During Trading. (5) 08/23/2024 - Other - Financial Education - Tutor - Not Investment Related - At Reported Business Location(s) - Start Date 08/05/2024 - 5 Hours Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2004-05-05
• S63 Uniform Securities Agent State Law Examination
  2000-03-10