Henry Chau

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

• 06/2015 → 04/2023
  Guardian Life Insurance Company
  San Ramon, CA
• 06/2015 → 04/2023
  Park Avenue Securities Llc
  San Ramon, CA
• 04/2023 → 01/2024
  Woodbury Financial Services Inc
  Diamond Bar, CA
• 01/2020 → 11/2023
  Health Professionals Insurance Services, Inc.
  San Diego, CA
• 01/2024 → 03/2026
  Osaic Wealth, Inc.
  Diamond Bar, CA
• 03/2026 → Present
  Lpl Financial
  Irvine, CA
• 03/2026 → Present
  Jfc Advisor Network
  Irvine, CA

Previous Registrations

• 2024-01-19 → 2026-03-10
  Osaic Wealth, Inc.
  Diamond Bar, CA
• 2023-04-20 → 2024-01-19
  Woodbury Financial Services, Inc.
  Diamond Bar, CA
  San Francisco, CA
  Diamond Bar, CA
• 2015-01-02 → 2023-04-21
  Park Avenue Securities Llc
  San Diego, CA
  Irvine, CA
  Los Angeles, CA
• 2012-09-12 → 2013-06-12
  Morgan Stanley
  Sherman Oaks, CA

Other Businesses

1. 02/2026 - Heritage Crest Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 160 Hrs/Mth - 160 Hrs During Trading - At Reported Business Location(s) - OBA Start Date: 03/02/2026 2. 02/2026 - Heritage Crest Wealth Management - Non-Variable Insurance - Investment Related - 30 Hrs/Mth - 30 Hrs During Trading - Costa Mesa, CA 92626 - OBA Start Date: 03/01/2026

Exams

• S66 Uniform Combined State Law Examination
  2012-09-11