Lindy Chan

Some features on this profile are disabled

CRD#: 5494291

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.

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

Lindy is a previously registered financial professional and started their career in finance in 2008. Lindy had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

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

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

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.

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

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".

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)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 5/15/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/2008

General Securities Representative Examination

Current Firm

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

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

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A- CENTRIC ADVISORS, LLC (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,162
AUM (Assets Under Management)	$ 226,897,006

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

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lindy Chan

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIERRA PACIFIC FINANCIAL ADVISORS

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CENTRIC ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2008

SIE

Date: 9/7/2018

Series 7

Date: 4/24/2008

Current Firm

CENTRIC ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CENTRIC ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors