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Lindy Chan

Lindy Chan

CUPERTINO, CA 95014
Some features on this profile are disabled
CRD#: 5494291
Lindy Chan
Lindy Chan

Professional summary

Lindy Chan, CFP®, who also goes by Yuen Lin Chan, was a registered financial advisor .

Lindy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Lindy had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

Aliases

Yuen Lin Chan

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.
Transglobal Holding Company, Lindy Chan is is a licensed insurance agent. Start date 2018, Investment Related Y, Hours per month less than 20. From time to time, she will offer clients advice or products from this activity. Clients should be aware that these services pay a commission and involve a possible conflict of interest, as commissionable products can conflict with the fiduciary duties of a registered investment adviser. the investment adviser always acts in the best interest of the client; including in the sale of commissionable products to advisory clients. Clients are in no way required to implement the plan through any representative of the investment adviser in their capacity as a licensed insurance agent

Blog Corner

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®

Certified Financial Planner

Start date: 2013

Experience

Current

September 3, 2026 - Present

Office #1: 19656 Stevens Creek Blvd., Cupertino, CA 95014
CUPERTINO, CA
Past

January 17, 2020 - August 26, 2026

CENTRIC ADVISORS, LLC

RIA
CRD#: 282477
Cupertino, CA
Past

September 19, 2018 - February 28, 2020

SIERRA PACIFIC FINANCIAL ADVISORS

RIA
CRD#: 131738
Mountain View, CA
Past

June 18, 2013 - September 7, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PALO ALTO, CA
Past

June 18, 2013 - September 7, 2018

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PALO ALTO, CA
Past

January 28, 2010 - June 26, 2013

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
CUPERTINO, CA
Past

January 28, 2010 - June 26, 2013

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
CUPERTINO, CA
Past

May 16, 2008 - February 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SAN FRANCISCO, CA
Past

April 25, 2008 - February 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SAN FRANCISCO, CA

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
(9/3/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/15/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/7/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/2008
General Securities Representative Examination

Current firm

No current employment

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.

Company Information

No current employment

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