Pengnian
Chu

Lpl Financial LLC

CRD#4675387
Investment Advisor
in Brea, CA

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About this Advisor

Pengnian Chu is a certified financial planner working out of Brea, California with 2 years of relevant experience. Chu is an employee of Lpl Financial LLC. Chu has gained experience at Lpl Financial LLC, Various Insurance Carriers and Waddell & Reed Inc. Chu holds a Series 66 license, which qualifies them as both a securities agent and an investment advisor representative, and is approved to serve investors in California, Nevada, New Jersey and Washington. Lpl Financial LLC is a financial advisory company operating out of Fort Mill, SC. The investment advisory business has offices in 9,898 locations and a total of 31,366 employees. It manages $368 billion in total assets between its 1,688,501 customer accounts, making it one of the biggest investment advisory firms in the United States by assets under management. The firm serves 3,425 charities and foundations. Of its 1,688,501 customer accounts, 31% are associated with high-net-worth individuals who have greater than $1 million in investable assets. Lpl Financial LLC performs a number of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. Financial advisory fee schedules usually are based on which service is provided. However, fee types billed by Lpl Financial LLC may include any combination of asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 66, CERTIFIED FINANCIAL PLANNER™

Years Registered*

2 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Office Location

1 Pointe Dr, Ste 240
Brea, CA 92821

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Lpl Financial LLC Brokerage Details

Total Assets Under Management

$368,018,536,946

CA Average: $646,059,043
Total Number of Employees

31,366

CA Average: 13
Total Number of Accounts

1,688,501

CA Average: 661
Average Account Size

$217,956

CA Average: $977,396

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Pengnian Chu Work History

Pengnian has been registered as a financial advisor for 2 years.*

2021 - Present (3 years)

Lpl Financial LLC

2005 - 2021 (16 years)

Various Insurance Carriers

2005 - 2021 (16 years)

Waddell & Reed Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Pengnian Chu to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Lpl Financial LLC

Eric Matthews
Fort Mill, SC
Joseph Praino
Purchase, NY
Daniel Gielow
Festus, MO
Bridget Platania
Arlington Heights, IL
Eric Shore
Danville, IL
Aaron Belgard
Guntersville, AL
Jon Mcknight
Dyersburg, TN
Karen Soule
Boston, MA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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