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Yooni Chang

LPl Financial LLC

Pasadena, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-08-31
CA RA APPROVED 2000-02-22
  • TX RA
    APPROVED_RES
    Since 2015-08-31
  • CA RA
    APPROVED
    Since 2000-02-22

Branch Locations

680 E Colorado Blvd. Suite 180, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Los Angeles CA 02/2000 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-28
S63 Uniform Securities Agent State Law Examination 1991-02-06
  • S65 Uniform Investment Adviser Law Examination
    1999-01-28
  • S63 Uniform Securities Agent State Law Examination
    1991-02-06

View on SEC IAPD

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