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Michael Irving Tan

LPl Financial LLC

Cerritos, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-09-14
  • CA RA
    APPROVED
    Since 2020-09-14

Branch Locations

11239 183Rd Street, Cerritos, CA 90703 • 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
OrganizationCityStateFromTo
Scottrade/Td Ameritrade Services Co., Inc La Habra CA 03/2015 03/2018
Jp Morgan Securities Llc Buena Park CA 04/2018 09/2020
Jp Morgan Chase Bank, N.A. Buena Park CA 04/2018 09/2020
Scottrade Investment Management La Habra CA 03/2015 03/2018
Lpl Financial Llc Cerritos CA 09/2020 Present
Lbs Financial Credit Union Cerritos CA 09/2020 Present
  • 03/2015 → 03/2018
    Scottrade/Td Ameritrade Services Co., Inc
    La Habra, CA
  • 04/2018 → 09/2020
    Jp Morgan Securities Llc
    Buena Park, CA
  • 04/2018 → 09/2020
    Jp Morgan Chase Bank, N.A.
    Buena Park, CA
  • 03/2015 → 03/2018
    Scottrade Investment Management
    La Habra, CA
  • 09/2020 → Present
    Lpl Financial Llc
    Cerritos, CA
  • 09/2020 → Present
    Lbs Financial Credit Union
    Cerritos, CA
Previous Registrations
Other Businesses

1)9/14/2020- LBS Financial Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)-100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-08
  • S66 Uniform Combined State Law Examination
    2014-01-08
Other Names
  • Michael Tan
  • Michael I Tan
  • Michael Irving Tan

View on SEC IAPD

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Other Offices

PFS INVESTMENTS INC. · CERRITOS, CA
LPL FINANCIAL LLC · CERRITOS, CA
FOUNDATIONS INVESTMENT ADVISORS LLC · CERRITOS, CA
PURE WEALTH MANAGEMENT · CERRITOS, CA
PURE WEALTH MANAGEMENT · Cerritos, CA
KESTRA ADVISORY SERVICES, LLC · Cerritos, CA
PFS INVESTMENTS INC. · CERRITOS, CA
CITIGROUP GLOBAL MARKETS INC. · Cerritos, CA

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