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. Wallace is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
1798 Technology Dr Ste 200, San Jose, CA, 95110-1320
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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 LLC
LPL Financial LLCBroker
Previous Registrations
Strategic Wealth Advisors Group
Associated Planners Investment Advisory INC
Associated Securities CORP.
Associated Securities CORP.Broker
Financial Network Investment CorporationBroker
Financial Network Investment Corporation
Pension Planners Securities, INC.
Pension Planners Securities, INC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Lincoln Financial Advisors CorporationBroker
The Lincoln National Life Insurance CompanyBroker
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.
Exams
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