Lindy Chan
CENTRIC ADVISORS
Cupertino, CA 95126
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CRD#: 5494291
Professional summary
Lindy Chan, CFP®, who also goes by Yuen Lin Chan, is a registered financial advisor currently at CENTRIC ADVISORS, LLC located in Cupertino, California.
Lindy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Lindy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Lindy Chan is is a licensed insurance agent. Start date 2008, 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
CRS (Client Relationship Summary) - RIA
Click below to view Lindy Chan's 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®
Start date: 2013
Experience
Current
January 17, 2020 - Present
CENTRIC ADVISORS, LLC
Office #1: 19656 Stevens Creek Blvd, Cupertino, CA 95126RIA
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
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".
CA
CENTRIC ADVISORS, LLC
CENTRIC | TITAN ADVISORY SERVICES, LLC | MAJORS & MONDRAGON, LLC. | CENTRIC WEALTH | CENTRIC RETIREMENT | CENTRIC PARTNERS | CENTRIC ADVISORS, LLC
CRD#: 282477 / SEC#: 801-121623
RIA
Registered Investment Advisory firm - (6/28/2021 Approved)Arizona
Registered Investment Advisory firm - (6/29/2021 Terminated)California
Registered Investment Advisory firm - (7/29/2021 Terminated)Iowa
Registered Investment Advisory firm - (12/31/2020 Terminated)Texas
Registered Investment Advisory firm - (6/29/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/29/2021 Terminated)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(2/21/2020)
IAR
Texas(1/17/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CA
CENTRIC ADVISORS, LLC
CENTRIC | TITAN ADVISORY SERVICES, LLC | MAJORS & MONDRAGON, LLC. | CENTRIC WEALTH | CENTRIC RETIREMENT | CENTRIC PARTNERS | CENTRIC ADVISORS, LLC
CRD#: 282477 / SEC#: 801-121623
RIA
Registered Investment Advisory firm - (6/28/2021 Approved)Arizona
Registered Investment Advisory firm - (6/29/2021 Terminated)California
Registered Investment Advisory firm - (7/29/2021 Terminated)Iowa
Registered Investment Advisory firm - (12/31/2020 Terminated)Texas
Registered Investment Advisory firm - (6/29/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/29/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12549 Louetta Road, Cypress, TX 77429
Mailing Address
Phone number
(888) 215-5888
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,162 |
| AUM (Assets Under Management) | $ 226,897,006 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
