Ian K Foo

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2015 → 03/2017
  Scottrade
  Union City, CA
• 03/2017 → 05/2017
  Unemployeed
  Milpitas, CA
• 05/2017 → 03/2019
  Cetera Advisors
  Denver, CO
• 05/2017 → 11/2025
  Mw Wealth Advisors
  San Jose, CA
• 03/2019 → 11/2025
  Cetera Investment Advisers Llc
  San Jose, CA
• 03/2019 → 11/2025
  Cetera Investment Services Llc
  St. Cloud, MN
• 11/2025 → Present
  Stanford Federal Credit Union
  Palo Alto, CA
• 11/2025 → Present
  Lpl Financial Llc
  Palo Alto, CA
• 11/2025 → 07/2026
  Mariner Independent Advisor Network
  Overland Park, KS

Previous Registrations

• 2025-11-17 → 2026-08-21
  Mariner Advisor Network
  Palo Alto, CA
  San Jose, CA
• 2019-03-22 → 2025-11-11
  Cetera Investment Advisers Llc
  San Jose, CA
• 2017-05-26 → 2019-08-22
  Cetera Advisors Llc
  San Jose, CA
  Milpitas, CA
  San Jose, CA
  Mountain View, CA
  San Jose, CA
  San Jose, CA
  Sunnyvale, CA
  Santa Clara, CA
  San Jose, CA
• 2016-10-06 → 2017-03-10
  Scottrade Investment Management
  Saint Louis, MO
• 2011-05-31 → 2014-12-31
  Citigroup Global Markets Inc.
  Daly City, CA
  Redwood City, CA
  Los Altos, CA
  San Francisco, CA
  Daly City, CA
  New York, NY
  Mountain View, CA
  San Francisco, CA
  Mountain View, CA
  San Francisco, CA
• 2010-09-27 → 2011-05-20
  Morgan Stanley
  San Jose, CA

Other Businesses

1. 11/03/2025- Investment products and services are offered through LPL Financial LLC using the DBA/trade name Stanford Federal Investment Services - Inv Rel- At Reported Business Location(s) - Start Date 11/03/2025 - 173 hours per month/ 100 hours during trading 2. 11/03/2025- Stanford Federal Credit Union- Financial Institution Duty- Inv Rel- At Reported Business Location(s)- 173 Hrs Per Mnth- 100 Hrs During Trading- Start Date 11/03/2025

Exams

• S66 Uniform Combined State Law Examination
  2010-09-24

Other Names

• Ian Kok Kaan Foo