Adam J Chaney

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
NC	RA	APPROVED	2023-09-11
TX	RA	APPROVED_RES	2016-05-27
IL	RA	APPROVED	2014-01-09

NC RA
APPROVED

Since 2023-09-11
TX RA
APPROVED_RES

Since 2016-05-27
IL RA
APPROVED

Since 2014-01-09

Branch Locations

Forest City, NC • United States

San Tan Valley, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Naperville	IL	08/2013	Present

08/2013 → Present

Lpl Financial Llc

Naperville, IL

Other Businesses

1. 12/30/2021 - Optimal Wealth & Investments, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 10/01/2013 - 160 Hours Per Month/3 Hours During Securities Trading. 2. 04/04/2022 - CFG Planning Services - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 12/17/2021 - 10 Hours Per Month/0 Hours During Securities Trading. 3. 03/11/2024 - Four Oaks Farmstead - Non-Inv Related - Forest City, NC - Business Owner - Started: 3/5/2024 - 5 Hrs/Mo; 0 Hr During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-01-03

S66 Uniform Combined State Law Examination

2014-01-03

Other Names

Adam J. Chaney

View on SEC IAPD