Lena M. Mcquillen

BAILARD

Buckholts, TX

Some features on this profile are disabled

CRD#: 4240883

Professional summary

Lena M Mcquillen, CFP®, who also goes by Lena Moon Chance, is a registered financial advisor currently at BAILARD, INC. located in Buckholts, Texas.

Lena is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Lena has worked at 3 firms and has passed the Series 66, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lena Moon Chance

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.

Smashing Grapes, LLC, non investment-related business, 612 N Juanita Ave Unit B Redondo Beach CA 90277, winery, LLC member, started April 2019, 1 hour per month of time devoted to business after security trading hours, book keeping

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lena M Mcquillen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 5, 2021 - Present

BAILARD, INC.

RIA

CRD#: 110550

Buckholts, TX

Past

December 11, 2007 - December 31, 2016

NELSON CAPITAL MANAGEMENT

RIA

CRD#: 123513

FOSTER CITY, CA

Past

March 18, 2004 - November 27, 2007

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

MENLO PARK, CA

Past

March 2, 2001 - November 27, 2007

CHARLES SCHWAB & CO., INC.

CRD#: 5393

MENLO PARK, CA

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".

BAILARD, INC.

CRD#: 110550 / SEC#: 801-8562

RIA

Registered Investment Advisory firm - (3/3/1972 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/5/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/16/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 7/16/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/18/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

BAILARD, INC.

CRD#: 110550 / SEC#: 801-8562

RIA

Registered Investment Advisory firm - (3/3/1972 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

950 Tower Ln Ste 1900, Foster City, CA 94404-2131

Mailing Address

Phone number

(650) 571-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAILARD ADV 2A (BROCHURE) (5/30/2025)

Regulatory assets under management

Total Number of Accounts	2,573
AUM (Assets Under Management)	$ 6,538,323,255

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lena M. Mcquillen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lena M Mcquillen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NELSON CAPITAL MANAGEMENT

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

BAILARD, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/16/2001

Series 7

Date: 3/1/2001

Series 10

Date: 7/16/2004

Series 9

Date: 5/18/2004

Current Firm

BAILARD, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BAILARD, INC.

TRUST BUT VERIFY

Similar Advisors