Tom Haipei Tan

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

• 03/2009 → 04/2019
  Cuso Financial Services, Lp
  San Diego, CA
• 05/2019 → Present
  Lpl Financial Llc
  Los Angeles, CA
• 03/2009 → Present
  Credit Union Of Southern California
  Covina, CA

Previous Registrations

• 2009-05-05 → 2019-04-22
  Cuso Financial Services, L.P.
  Los Angeles, CA
  Irvine, CA
  Los Angeles, CA
  San Diego, CA
  Los Angeles, CA
  Los Angeles, CA
• 2005-05-25 → 2006-04-25
  Wamu Investments, Inc.
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

1. 5/1/2019 - No Business Name - Investment Related - Redondo Beach, CA 90278 - Real Estate Rental - Owner/Landlord - Started 07/01/1994. 2. 5/1/2019 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Investment Services located at Credit Union of Southern California - Investment Related - At Reported Business Location(s) 3. 10/29/2019 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name SoCal Wealth Management - Investment related - At reported business location(s) - start date:12/01/2019 - 160 hrs/mo - 160 hrs during trading. 4. 12/17/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Pacific Summit Wealth Advisors - Investment Related - At Reported Business Location(s) - Start Date 01/01/2026 - 20 hours per month/ during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-04-30
• S63 Uniform Securities Agent State Law Examination
  2000-01-03

Other Names

• Tom Haipei Tan