Kam Piu Chak

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

• 05/2015 → 04/2018
  Jp Morgan Securities Llc
  San Francisco, CA
• 05/2015 → 04/2018
  Jp Morgan Chase Bank
  San Francisco, CA
• 07/2020 → 09/2023
  Bank Of The West
  Redwood City, CA
• 04/2018 → 07/2020
  Citibank
  San Francisco, CA
• 09/2023 → Present
  Bmo
  Redwood City, CA
• 09/2024 → Present
  Lpl Financial Llc
  Redwood City, CA

Other Businesses

1- 08/2024 / BMO Investment Services / DBA for LPL Business (entity for LPL business) / Investment Related / At reported business location(s) 2- 08/2024 / BMO HARRIS BANK / Financial Institution Duty / Investment Related / 160 hrs mth / 8 hrs during trading / Redwood City, CA / Start date: 08/19/2024

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-06-25
• S63 Uniform Securities Agent State Law Examination
  2024-12-09

Other Names

• Kam P Chak
• Kampiu Chak