Chad Allen Taylor

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

• 01/2013 → 04/2021
  Ubs Financial Services Inc.
  San Diego, CA
• 04/2021 → Present
  Lpl Financial, Llc
  San Diego, CA

Previous Registrations

• 2013-01-15 → 2021-05-13
  Ubs Financial Services Inc.
  San Diego, CA
• 2009-06-01 → 2013-02-06
  Morgan Stanley
  San Diego, CA
• 2007-08-17 → 2009-06-01
  Citigroup Global Markets Inc.
  San Diego, CA
• 2003-10-24 → 2007-08-22
  Raymond J. Lucia Companies, Inc.
  San Diego, CA
• 2004-04-19 → 2006-02-22
  Rjl Financial Network, L.L.C.
  Omaha, NE

Other Businesses

1. 4/27/2021 - Taylor Living Trust - Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee - Started 2005 - 0 Hours Per Month - Time Spent 0% - Revocable trust, wife is also a trustee. 2. 4/27/2021 - Seapoint Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/01/2021. 3) 09/11/2025 - TBD - Investment Related - Real Estate Rental -Home Based - Start Date:11/03/2025 - 5 Hrs/Mth - 0 Hrs During Trading. 4) 09/15/2025 - Pro Tax Direct - Investment Related - Tax Prep/Accounting/CPA - At Reported Business Location(s) - Start Date:09/15/2025 - 10 Hrs/Mth - 5 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  1998-10-07

Designations

• Certified Financial Planner

Other Names

• Chad A Taylor