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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2026-05-26
  • UT RA
    APPROVED
    Since 2026-05-26

Branch Locations

Saint George, UT • United States

1600 W Hillsdale Blvd Ste 102, San Mateo, CA 94402 • 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
OrganizationCityStateFromTo
Chen Financial Group, Llc San Mateo CA 04/2006 Present
Lpl Financial Llc Saint George UT 09/2009 Present
  • 04/2006 → Present
    Chen Financial Group, Llc
    San Mateo, CA
  • 09/2009 → Present
    Saint George, UT
Other Businesses

1) 11/25/2025 - Chen Financial Group LLC / DBA LPL Business (entity for LPL business) Inv Related / At reported business location (s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-05-23
  • S66 Uniform Combined State Law Examination
    2026-05-23

View on SEC IAPD

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