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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

DENNIS CHRISTOPHER QUAN

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:33122996-3735-66b4-1c0d-c8209de75910

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 24, 1998 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 5
Exams: S63|S65
First exam: Sep 4, 1997
First registration: Aug 24, 1998
Dual registered: yes, broker-dealer
Other names: DENNIS QUAN
IAPD individual key: 2933181

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 19, 2023	n/a	yes	CUPERTINO, CA\|SAN JOSE, CA\|SAN JOSE, CA\|DALY CITY, CA\|SANTA CLARA, CA\|LOS GATOS, CA\|LOS ALTOS, CA\|SAN FRANCISCO, CA	Current employment
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Mar 22, 2011	Jul 25, 2023	no	SARATOGA, CA\|CUPERTINO, CA\|LOS ALTOS, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SANTA CLARA, CA\|PALO ALTO, CA\|PALO ALTO, CA\|PALO ALTO, CA\|LOS GATOS, CA\|SAN JOSE, CA\|SUNNYVALE, CA\|SAN JOSE, CA\|SUNNYVALE, CA\|SANTA CLARA, CA\|CUPERTINO, CA\|SAN JOSE, CA\|OMAHA, NE	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jun 2, 2010	Mar 18, 2011	no	Los Altos, CA\|LOS ALTOS, CA\|CUPERTINO, CA\|CUPERTINO, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 18, 2007	Apr 27, 2010	no	SAN JOSE, CA\|SAN JOSE, CA\|SAN LEANDRO, CA\|SAN JOSE, CA	Previous registration
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Former SEC adviser	Oct 17, 2006	Dec 14, 2007	no	BURLINGAME, CA\|SAN MATEO, CA\|SOUTH SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|DALY CITY, CA\|SAN FRANCISCO, CA\|SOUTH SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|DALY CITY, CA\|SAN FRANCISCO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 3, 2002	Jul 11, 2005	no	SAN MATEO, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 24, 1998	Jul 18, 2002	no	OAKLAND, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	LPL FINANCIAL LLC	Jul 25, 2023	Jul 19, 2023	-6	Bulk transfer	Ibd to ibd
U.S. BANCORP INVESTMENTS, INC.	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Mar 18, 2011	Mar 22, 2011	4	Firm change	Other
WELLS FARGO ADVISORS	U.S. BANCORP INVESTMENTS, INC.	Apr 27, 2010	Jun 2, 2010	36	Firm change	Other
BANCWEST INVESTMENT SERVICES, INC. (BWIS)	WELLS FARGO ADVISORS	Dec 14, 2007	Dec 18, 2007	4	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BANCWEST INVESTMENT SERVICES, INC. (BWIS)	Jul 11, 2005	Oct 17, 2006	463	Firm change after gap	Other
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 18, 2002	Jul 3, 2002	-15	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 19, 2023 to presentfactForm ADV
→ BANCWEST INVESTMENT SERVICES, INC. (BWIS)Registered adviserregistration: previous registration
Mar 22, 2011 to Jul 25, 2023factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 2, 2010 to Mar 18, 2011factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 18, 2007 to Apr 27, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 3, 2002 to Jul 11, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 24, 1998 to Jul 18, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33122996-3735-66b4-1c0d-c8209de75910
First observed: Aug 24, 1998
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DENNIS CHRISTOPHER QUAN

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:33122996-3735-66b4-1c0d-c8209de75910

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:37 PM UTC and rebuilt at most every 15 minutes.