Kaitlyn Jane Chuong

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-08-27

CA RA
APPROVED

Since 2021-08-27

Branch Locations

15061 Springdale St Ste 101, Huntington Beach, CA 92649 • United States

San Gabriel, CA • 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
Wells Fargo Advisors Llc	Los Angeles	CA	06/2011	11/2016
Wells Fargo Clearing Services, Llc	Los Angeles	CA	11/2016	08/2021
Lpl Financial Llc	Huntington Beach	CA	08/2021	Present

06/2011 → 11/2016

Wells Fargo Advisors Llc

Los Angeles, CA
11/2016 → 08/2021

Wells Fargo Clearing Services, Llc

Los Angeles, CA
08/2021 → Present

Lpl Financial Llc

Huntington Beach, CA

Previous Registrations

2011-06-28 → 2021-09-01

Wells Fargo Clearing Services, Llc

Beverly Hills, CA

El Segundo, CA

Los Angeles, CA

Los Angeles, CA

Irvine, CA

Irvine, CA

El Segundo, CA

Irvine, CA

Los Angeles, CA
2009-06-01 → 2011-06-30

Morgan Stanley

Los Angeles, CA
2008-12-23 → 2009-06-01

Citigroup Global Markets Inc.

Los Angeles, CA
2005-10-21 → 2007-07-09

Wells Fargo Investments, Llc

Temple City, CA

Temple City, CA

Los Angeles, CA

Other Businesses

1)06/09/2021 - Taylor Wealth Management, Inc - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 08/2021

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-10-20

S66 Uniform Combined State Law Examination

2005-10-20

View on SEC IAPD