Wallace Chu
Wallace Chu is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in San Jose, CA, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
1798 Technology Dr Ste 200, San Jose, CA, 95110-1320
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Wallace is the CEO of Turning Leaf Financial Group, a company that provides services such as processing and marketing to a group of advisors. He works with three other partners to manage the company's operations, dedicating about a quarter of his time to this role.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Strategic Wealth Advisors Group
Associated Planners Investment Advisory INC
Associated Securities CORP.
Associated Securities CORP.Broker
Financial Network Investment Corporation
Financial Network Investment CorporationBroker
Pension Planners Securities, INC.Broker
Pension Planners Securities, INC.
Metlife Securities INC.
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
The Lincoln National Life Insurance CompanyBroker
Lincoln Financial Advisors CorporationBroker
Nylife Securities INC.Broker
Wma Securities, INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.