DC
David L. Chin
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CRD#: 1475752
DC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Lee Chin, CFP®, who also goes by David Chin Lee, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David Chin Lee
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 05/06/2024 - David Chin Tax Preparation - Tax Prep/Accounting/CPA - At Reported Business Location(s) - Investment related - 20 Hours per month - Start date: 02/01/1974. 2) 05/06/2024 - David Chin - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 21 Hours per month. 3) 05/06/2024 - David L Chin Insurance (duplicate) - Investment Related - Non-Variable Insurance - At reported business location(s) - Start Date : 03/19/1973 - 1 Hrs/Mth - 1 Hrs During Trading 4) 05/06/2024 - David Chin (duplicate) - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Investment related - Start date: 05/01/2024 -21 Hrs/Mth - 41 Hrs During Trading . 5) 05/06/2024 - David Chin Tax Preparation (duplicate) - Investment Related - Tax Prep/Accounting/CPA - At reported business location(s) - Start Date : 02/01/1974 - 20 Hrs/Mth - 40 Hrs During Trading. 6) 05/06/2024 - David L Chin Insurance - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date: 03/19/1973 - 1 Hrs/Mth - 1 Hrs During Trading. 7) 06/21/2024 - Empire Financial Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 06/01/2024 - 80 Hours Per Month/ 40 Hours During Trading 8) 05/20/2025 - Verant Wealth - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 06/02/2025 - 160 Hrs/Mth - 160 Hrs During Trading.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1992
Experience
Past
May 8, 2024 - July 28, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
EAST GREENBUSH, NY
Past
May 6, 2024 - July 28, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
EAST GREENBUSH, NY
Past
January 31, 2018 - May 6, 2024
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
EAST GREENBUSH, NY
Past
February 17, 2012 - May 6, 2024
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
EAST GREENBUSH, NY
Past
July 26, 2007 - February 21, 2012
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
EAST GREENBUSH, NY
Past
March 5, 2004 - July 31, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
EAST GREENBUSH, NY
Past
August 22, 2001 - February 2, 2004
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
AUSTIN, TX
Past
October 27, 1992 - August 28, 2001
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
March 17, 1992 - October 21, 1992
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
April 23, 1986 - December 14, 1990
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
Past
April 23, 1986 - December 14, 1990
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL
CRD#: 6413 / SEC#: 801-10970, 8-17668
RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
