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Puisan Tan

LPl Financial LLC

Kirkland, WA

CRD 7555358

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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

AuthorityCategoryStatusDate
WA RA APPROVED 2025-04-24
  • WA RA
    APPROVED
    Since 2025-04-24

Branch Locations

Kirkland, WA • 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
Lpl Financial Llc Kirkland WA 05/2022 Present
Tricor K.K Japan Tokyo 08/2016 08/2017
Cyest Corporation Tokyo 08/2017 11/2019
Iamsafe Llp Singapore 12/2020 04/2022
Homemaking (Unemployed) Bellevue WA 11/2019 12/2020
Homemaking (Unemployed) Tokyo 03/2014 08/2016
  • 05/2022 → Present
    Lpl Financial Llc
    Kirkland, WA
  • 08/2016 → 08/2017
    Tricor K.K Japan
    Tokyo
  • 08/2017 → 11/2019
    Cyest Corporation
    Tokyo
  • 12/2020 → 04/2022
    Iamsafe Llp
    Singapore
  • 11/2019 → 12/2020
    Homemaking (Unemployed)
    Bellevue, WA
  • 03/2014 → 08/2016
    Homemaking (Unemployed)
    Tokyo
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-23
  • S66 Uniform Combined State Law Examination
    2025-04-23
Other Names
  • Carol Tan
  • Pui San Tan

View on SEC IAPD

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