Robin Pengkoon Tan

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
TX	RA	APPROVED	2020-10-01
WA	RA	APPROVED	2020-10-01

TX RA
APPROVED

Since 2020-10-01
WA RA
APPROVED

Since 2020-10-01

Branch Locations

Kirkland, WA • 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
Kms Financial Services, Inc.	Seattle	WA	12/1997	09/2020
Lpl Financial, Llc	Kirkland	WA	09/2020	Present

12/1997 → 09/2020

Kms Financial Services, Inc.

Seattle, WA
09/2020 → Present

Lpl Financial, Llc

Kirkland, WA

Previous Registrations

1998-11-03 → 2020-10-01

Kms Financial Services, Inc.

Kirkland, WA

Kirkland, WA

Other Businesses

1. 10/1/2020 - R TAN & Associates - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 1997 - 2 Hours Per Month/0 Hours During Securities Trading - Selling DISABILITY, LTC, TERM AND term life.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-10-30
S63	Uniform Securities Agent State Law Examination	1995-12-28

S65 Uniform Investment Adviser Law Examination

1998-10-30
S63 Uniform Securities Agent State Law Examination

1995-12-28

Designations

Certified Financial Planner

View on SEC IAPD