Daxin Wang

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

• 08/2018 → 08/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA
• 03/2018 → 07/2018
  Adecco Inc
  Santa Clara, CA
• 03/2017 → 02/2018
  Google Inc Via Adecco Inc
  Mountain View, CA
• 03/2016 → 02/2017
  Leeco Inc.
  San Jose, CA
• 08/2008 → 08/2016
  Claremont Graduate University
  Claremont, CA
• 08/2020 → 10/2022
  Jp Morgan Chase Bank, N.A.
  San Jose, CA
• 08/2020 → 10/2022
  Jp Morgan Securities, Llc
  San Jose, CA
• 10/2022 → 11/2025
  Wells Fargo Clearing Services, Llc
  San Jose, CA
• 03/2026 → Present
  Cefcu
  San Jose, CA
• 03/2026 → Present
  Lpl Financial Llc
  San Jose, CA
• 11/2025 → 03/2026
  Unemployed
  San Jose, CA
• 08/2018 → 08/2020
  Bank Of America, N.A.
  San Jose, CA

Previous Registrations

• 2022-10-17 → 2025-12-05
  Wells Fargo Clearing Services, Llc
  San Jose, CA
• 2020-09-17 → 2022-10-08
  J.P. Morgan Securities Llc
  San Jose, CA
  Sunnyvale, CA
  Sunnyvale, CA
  Cupertino, CA
  Cupertino, CA
  Saratoga, CA
• 2019-06-04 → 2020-09-01
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Jose, CA

Other Businesses

1. "Investment products and services are offered through LPL Financial LLC using the DBA/trade name CEFCU Investment Services- Inv Rel - At Reported Business Location (s) - Start Date :03/2026

Exams

• S66 Uniform Combined State Law Examination
  2019-06-01

Other Names

• Katherine Wang
• Daxin Wang
• Daxin Katherine Wang