Adviser and broker representative · LPL Financial LLC
Pengnian Chu
CRD 4675387 · Brea, CA
At a glance
Pengnian Chu is an investment adviser representative with LPL Financial LLC in Brea, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Pengnian’s SEC record dates to 2005, about 21 years ago. Pengnian is also registered as a broker representative. Designations on file: Certified Financial Planner.
Current advisory firm
- LPL Financial LLCSince July 2021Brea, CA · $819B in regulatory assets
SEC adviser record
- Registered since
- 2005 (21 years)
- Designations
- Certified Financial Planner
- Exams
- Series 66
- Registered in
- 4 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Pengnian’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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