Diana Ho Chan

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-07-19

CA RA
APPROVED

Since 2023-07-19

Branch Locations

4501 E La Palma, Anaheim, CA 92807 • United States

619 S Brookhurst Ave., Anaheim, CA 92804 • United States

1330 S Beach Blvd, Unit A, La Habra, CA 90631 • United States

13300 Crossroads Parkway Suite 120, City Of Industry, CA 91746 • United States

391 S State College Blvd Ste B, Brea, CA 92821 • United States

Yorba Linda, CA • United States

3021 Yorba Linda Blvd Suite 120, Fullerton, CA 92831 • 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
Bank Of The West	Rowland Heights	CA	04/2016	Present
Bancwest Investment Services, Inc.	Rowland Heights	CA	04/2016	Present
Lpl Financial Llc	Baldwin Park	CA	07/2023	Present

04/2016 → Present

Bank Of The West

Rowland Heights, CA
04/2016 → Present

Bancwest Investment Services, Inc.

Rowland Heights, CA
07/2023 → Present

Lpl Financial Llc

Baldwin Park, CA

Previous Registrations

2016-04-22 → 2023-07-19

Bancwest Investment Services, Inc.

Rowland Heights, CA

West Covina, CA

City Of Industry, CA

Baldwin Park, CA

City Of Industry, CA

Anaheim, CA

Tustin, CA

Anaheim, CA
2014-11-14 → 2016-04-14

J.P. Morgan Securities Llc

San Marino, CA

Burbank, CA

Arcadia, CA

Temple City, CA

Other Businesses

1.05/26/2023; Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services; Investment Related; at Reported Business Location(s); Start Date ; hrs/mth; hrs during trading 2.05/26/2023; 15459 Pintura Dr Hacienda Heights, CA 91745- 5222; Real Estate Rental; Investment Related; 15459 Pintura Dr Hacienda Heights,CA; Start Date 09/01/2019; hrs/mth; hrs during trading 3.05/13/2026; Rental Property; Real Estate Rental; Investment Related; Knoxville,TN; Start Date 03/04/2026; 0hrs/mth; 0hrs during trading 4.08/21/2026; Chain Enterprises LLC DBA Sho Handroll Bar; Business Owner; Not Investment Related; Yorba Linda,CA; Start Date 05/22/2026; 25hrs/mth; 0hrs during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-11-13

S66 Uniform Combined State Law Examination

2014-11-13

Other Names

Diana Ho

View on SEC IAPD