Leona Hui Chan

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2010 → Present
  Leona H. Chan, Cpa P.C.
  Hopewell Junction, NY
• 10/2012 → 11/2016
  Lincoln Financial Advisors Corporation
  Hopewell Junction, NY
• 11/2016 → 10/2018
  Lpl Financial Llc
  Pawling, NY
• 01/2023 → 09/2025
  Avantax Advisory Services
  Hopewell Junction, NY
• 01/2023 → 09/2025
  Avantax Insurance Services
  Hopewell Junction, NY
• 12/2023 → 09/2025
  Avantax Investment Services Inc.
  Hopewell Junction, NY
• 09/2025 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 02/2026 → Present
  Lhc Wealth Advisory
  Hopewell Junction, NY

Previous Registrations

• 2023-01-04 → 2025-09-08
  Avantax Advisory Services
  Hopewell Junction, NY

Other Businesses

1) LEONA H. CHAN, CPA P.C. POSITION: CONSULTANT NATURE: CONSULTING TAX PREPARATION, INVESTMENT RELATED: YES NUMBER OF HOURS: 5 PER WEEK, DURING TRADING HOURS, START DATE: 11/2025 ADDRESS: SAME AS REGISTERED LOCATION, DESCRIPTION: REVIEW AND HELP COMMUNICATE WITH CLIENTS AS NEEDED; 2) MID-HUDSON CHINESE CHRISTIAN CHURCH POSITION: Board member NATURE: Mid-Hudson Chinese Christian Church is a non-denominational evangelical church located in Wappingers Falls, New York. INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 306 All Angels Hill, Wappingers Falls NY 12590, United States DESCRIPTION: Deaconfor children ministry- set agenda, coordinate teachers and materials. Participate in monthly deacon board. 3) RENTAL PROPERTIES POSITION: Owner NATURE: 3 residential rental properties INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2011 ADDRESS: 29 Grove Ct, Fishkill NY 12524, United States DESCRIPTION: Draft annual lease agreements, coordinate repair and maintenance if necessary, deposit monthly rent and pay management fees. 4) NAME OF OTHER BUSINESS: LHC WEALTH ADVISORY INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 2/18/2026, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL (OR OWNER/PARTNER), APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S63 Uniform Securities Agent State Law Examination
  2023-12-29

Designations

• Personal Financial Specialist

Other Names

• Kit-Lai Leona Hui
• Leona H Chan
• Leona Chan