Walter Kwongwah Kwan

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 09/1991 → Present
  Prudential Insurance Company Of America
  Boston, MA
• 09/1991 → 11/2024
  Pruco Securities, Llc.
  Boston, MA
• 11/2024 → Present
  Lpl Enterprise, Llc
  Boston, MA

Previous Registrations

• 2022-01-20 → 2024-11-20
  Pruco Securities, Llc.
  Boston, MA
  Boston, MA
  Newark, NJ

Other Businesses

1) 12/03/2024 - WALTER KWAN INSURANCE AGENCY INC - WALTER KWAN INSURANCE AGENCY INC - Property and Casualty - Inv Related - At Boston, MA - Start Date 05/31/1996 - 60hrs/mth - 20 hrs/mth During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-08-21
• S63 Uniform Securities Agent State Law Examination
  1991-12-03

Other Names

• Walter Kwong Kwan