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Liyuan Lee

LPl Financial LLC

Concord, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-10
  • CA RA
    APPROVED
    Since 2025-07-10

Branch Locations

1855 Gateway Blvd Ste 570, Concord, CA 94520 • 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
OrganizationCityStateFromTo
Sid Financial Services San Mateo CA 03/2021 03/2026
Riverbed Technology San Francisco CA 04/2014 03/2021
Lpl Financial Llc San Mateo CA 07/2025 Present
  • 03/2021 → 03/2026
    Sid Financial Services
    San Mateo, CA
  • 04/2014 → 03/2021
    Riverbed Technology
    San Francisco, CA
  • 07/2025 → Present
    Lpl Financial Llc
    San Mateo, CA
Previous Registrations
  • 2023-04-20 → 2025-07-10
    Next Financial Group, Inc.
    San Mateo, CA
Other Businesses

1 - 07/2025 - HR Block - Tax Prep/Accounting/CPA - Inv Related - 40 Hours/Month - 40 Hour During Trading - San Jose, CA - OBA Start Date: 01/06/2025.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-04-17
S63 Uniform Securities Agent State Law Examination 2022-08-06
  • S65 Uniform Investment Adviser Law Examination
    2023-04-17
  • S63 Uniform Securities Agent State Law Examination
    2022-08-06
Other Names
  • Lily Lee
  • Liyuan Lee

View on SEC IAPD

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EDWARD JONES
PFS INVESTMENTS INC.
D & T FINANCIAL ADVISORS, INC.

Other Investors

MICHAEL KIM
JOHN ALLEN BUCHANAN
BRADLEY ALLEN
JASON ELLIOT CADELL
DYLAN ALEXANDER SCHLOTT
JENNIFER LINDA ADAMS
Joseph Patrick Condon
KEITH DAVID STEMPEL

Other Offices

ASSETMARK, INC. · CONCORD, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CONCORD, CA
INVESTMENT GROWTH MANAGEMENT, INC · Concord, CA
WELLS FARGO CLEARING SERVICES, LLC · CONCORD, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CONCORD, CA
TECHFELLOWS MANAGEMENT, LLC · CONCORD, CA
EDWARD JONES · Concord, CA
PFS INVESTMENTS INC. · CONCORD, CA

More in Concord, CA

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