Lan Xiao

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

• 06/2016 → 12/2016
  Unemployed
  Fremont, CA
• 01/2018 → 01/2023
  East West Bank
  Cupertino, CA
• 04/2019 → 11/2019
  Cetera Investment Services Llc
  St Cloud, MN
• 01/2020 → 12/2020
  Cetera Investment Services Llc
  St Cloud, MN
• 01/2017 → 12/2017
  Nine Star University Of Health
  Sunnyvale, CA
• 03/2022 → 01/2023
  Cetera Investment Services Llc
  St Cloud, MN
• 12/2024 → Present
  Lpl Financial Llc
  Fremont, CA
• 01/2023 → Present
  General Mortgage Capital Corporation
  Fremont, CA

Other Businesses

1- 12/2024 / General Mortgage Capital Corporation / INV RLTD / At Reported Business Location(s) - 15 HRS MNTH / 15 HRS DURING TRADING / START 01/17/2023 2- 12/2024 / Lan Xiao / Non-Variable Insurance / INV RLTD / At Reported Business Location(s) - 10 HRS MNTH / 20 HRS DURING TRADING / START 03/23/2023 3- 12/2024 / Lan Xiao / Real Estate Rental / INV RLTD /Reno, NV and Fourney, TX - Start Date 03/23/2023 - 10 hours per month/ during trading 4- 12/16/2024 - Lan Xiao and Peng Xie - Investment Related - Real Estate Rental - At reported business location (s) - Start Date:03/23/2023 - 10 Hrs/Mth/ During Trading. 5- 06/03/2025 - LIFESTYLE FINANCIAL PLANNING SOLUTIONS LLC - Inv. Related - DBA for LPL Business (entity for LPL business) - At reported business location (s) - Start Date 05/29/2025 - 160 Hrs/Mth - 30 Hrs During Trading. 6- 03/31/2026 - Ameritas LIfe Insurance Corp - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 03/23/2026 - 160 hours per month/ 30 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-04-01
• S63 Uniform Securities Agent State Law Examination
  2019-05-25