Man Chung Chau

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2014-12-17

WA RA
APPROVED

Since 2014-12-17

Branch Locations

Renton, WA • 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

Organization	City	State	From	To
Linsco/Private Ledger Corp.	Mission Viejo	CA	10/2005	Present

10/2005 → Present

Linsco/Private Ledger Corp.

Mission Viejo, CA

Previous Registrations

1997-07-08 → 2002-11-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Laguna Hills, CA

Other Businesses

1. PARTNER IN RAW LAND: 1- RAINBOW PARTNERS - 2- PROSPERITY PARTNERS 2. 08/17/2010 - REAL ESTATE RENTAL/ONE UNIT - SINGLE FAMILY DETACHED RENTAL PROPERTY. TENANTS ARE NOT CUSTOMERS NOR ADVISORS OF ANOTHER B/D OR RIA. 1% OF TIME.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-10-23
S63	Uniform Securities Agent State Law Examination	1995-06-21

S65 Uniform Investment Adviser Law Examination

1995-10-23
S63 Uniform Securities Agent State Law Examination

1995-06-21

Other Names

John Chau
Man Chung John Chau
Man Chung Chau
John Man Chung Chau

View on SEC IAPD