Zhe 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-08-15
NJ	RA	APPROVED	2021-09-16

TX RA
APPROVED_RES

Since 2022-08-15
NJ RA
APPROVED

Since 2021-09-16

Branch Locations

Lafayette, NJ • 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

Organization	City	State	From	To
Guardian Life Insurance	Paramus	NJ	12/2015	09/2021
Park Ave Securities	Paramus	NJ	01/2016	09/2021
Lpl Financial Llc	Garfield	NJ	09/2021	Present

12/2015 → 09/2021

Guardian Life Insurance

Paramus, NJ
01/2016 → 09/2021

Park Ave Securities

Paramus, NJ
09/2021 → Present

Lpl Financial Llc

Garfield, NJ

Previous Registrations

2017-05-30 → 2021-09-17

Park Avenue Securities Llc

Paramus, NJ

Paramus, NJ

Paramus, NJ

Other Businesses

1)09/16/2021 - Non-Variable Insurance - Agent - Inv Rel - Paramus, NJ - Start: 03/2020 2) 09/16/2021 - Le Memoire International LLC - Business Owner - sale of merchandises on Amazon and other online platforms - Inv Rel - Garfield, NJ 3)09/16/2021 - Top Student Plan LLC - Agent selling Health. Paid at the carrier level. - Inv Rel - Garfield, NJ - Start: 03/2019

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-05-22

S66 Uniform Combined State Law Examination

2017-05-22

Other Names

Clark Chen

View on SEC IAPD