Wendy Yin Chan

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-05-14
TX	RA	APPROVED	2021-03-05

CA RA
APPROVED

Since 2025-05-14
TX RA
APPROVED

Since 2021-03-05

Branch Locations

Houston, TX • 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
American United Life	Houston	TX	07/2014	03/2021
Oneamerica Securities	Houston	TX	09/2014	01/2021
Lpl Financial Llc	Missouri City	TX	03/2021	Present

07/2014 → 03/2021

American United Life

Houston, TX
09/2014 → 01/2021

Oneamerica Securities

Houston, TX
03/2021 → Present

Lpl Financial Llc

Missouri City, TX

Previous Registrations

2014-09-30 → 2021-03-26

Oneamerica Securities, Inc.

Houston, TX

Indianapolis, IN
2009-05-18 → 2014-08-28

Mml Investors Services, Llc

Houston, TX

Other Businesses

1)01/29/2021 - Wendy Chan - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 2009 - 20 Hr/Mth 2)01/29/2021 - Wendy Y Chan, P.C.(Professional Corporation) - Tax Prep/Accounting/CPA - Inv Rel - At Reported Business Location(s) - Start: 04/2013 - 80 Hr/Mth

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-03-10

S66 Uniform Combined State Law Examination

2009-03-10

Designations

Other Names

Wendy Chan

View on SEC IAPD