GC
George Chui
LPL ENTERPRISE
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 5534010
GC
Professional summary
George Chui is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Atlanta, Georgia.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. George has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
NAME: RENTAL PROPERTY INV REL: N ADD: DULUTH, GA NATURE: RENTAL PROPERTY POSITION:33% OWNERSHIP START DATE: 2007 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES:MY PARENTS EACH OWN 33% AND THEY RECEIVE ALL THE RENTAL INCOME SO I HAVE NO REAL DUTIES 1. Name of the business - Title Boxing Club 2. Is the business investment-related - No 3. Address of the other business - 735 N Main St #1700, Alpharetta, GA 30009 4. Nature of the other business - Fitness / Gym 5. Position/Title - Boxing trainer 6. Start date of your relationship - Aug 2016 7. Approximate number of hours/month you devote to the other business - 5 hrs per month 8. Number of hours you devote to the other business during securities trading hours - Zero during market hours 9. Duties relating to other Business - Boxing trainer
CRS (Client Relationship Summary) - RIA
Click below to view George Chui's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Chui'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326RIA
BD
CRD#: 8733
ATLANTA, GA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326RIA
BD
CRD#: 8733
ATLANTA, GA
Past
September 5, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ATLANTA, GA
Past
September 4, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ATLANTA, GA
Past
March 8, 2024 - August 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ATLANTA, GA
Past
March 6, 2024 - August 30, 2024
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ATLANTA, GA
Past
May 4, 2023 - December 22, 2023
ST. BERNARD FINANCIAL SERVICES, INC.
RIA
CRD#: 36956
Roswell, GA
Past
March 21, 2023 - December 22, 2023
ST. BERNARD FINANCIAL SERVICES, INC.
BD
CRD#: 36956
RUSSELLVILLE, AR
Past
October 3, 2022 - January 3, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
March 25, 2022 - August 24, 2022
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
MEMPHIS, TN
Past
December 5, 2017 - March 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MARIETTA, GA
Past
December 5, 2017 - March 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MARIETTA, GA
Past
January 7, 2014 - August 24, 2017
HARRISDIRECT LLC
RIA
CRD#: 42159
ALPHARETTA, GA
Past
October 4, 2013 - August 24, 2017
E*TRADE SECURITIES LLC
BD
CRD#: 29106
ALPHARETTA, GA
Past
March 13, 2012 - August 2, 2013
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
November 5, 2008 - October 27, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
ATLANTA, GA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(11/18/2024)
RR
Georgia(11/14/2024)
IAR
Georgia(11/14/2024)
RR
Kentucky(11/14/2024)
RR
Maryland(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Tennessee(11/14/2024)
RR
Texas(11/14/2024)
RR
Virginia(11/14/2024)
RR
West Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
