Xu Wan

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	2022-05-13
IL	RA	APPROVED	2021-05-20

TX RA
APPROVED

Since 2022-05-13
IL RA
APPROVED

Since 2021-05-20

Branch Locations

Buffalo Grove, IL • 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
Dearborn Capital Brokers Ltd	Downers Grove	IL	01/2006	Present
Lpl Financial, Llc	Buffalo Grove	IL	02/2021	Present

01/2006 → Present

Dearborn Capital Brokers Ltd

Downers Grove, IL
02/2021 → Present

Lpl Financial, Llc

Buffalo Grove, IL

Other Businesses

1) 2/2021 - DBA for LPL Business (entity for LPL business) - Ren & Associates - Investment Related - Deerfield, IL 60015 2) 4/2015 - Real Estate Rental - Wansheng Consulting and Investment Corp - Investment Related - 1455 East 56th Street Chicago, IL 60037 3) 1/2006 - Outside/W-2 Employment - Dearborn Capital Brokers Ltd. - Not Investment Related - 20% - 1315 Butterfield Rd, Ste 226, Downers Grove, IL 60515

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-05-18

S66 Uniform Combined State Law Examination

2021-05-18

View on SEC IAPD