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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

CHAD ALLEN TAYLOR

Advisor at LPL FINANCIAL LLC

DEL MAR, CA | SAN DIEGO, CA

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Search this name across graphsid dfx:ria:c29f996b-2a3d-a6dc-7708-3aa67e105f51

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2003 to Sep 14, 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: Oct 7, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 7, 1998
First registration: Oct 24, 2003
Dual registered: yes, broker-dealer
Other names: CHAD A TAYLOR
IAPD individual key: 3095020

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	Apr 27, 2021	n/a	yes	DEL MAR, CA\|SAN DIEGO, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 15, 2013	May 13, 2021	no	SAN DIEGO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Feb 6, 2013	no	San Diego, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 17, 2007	Jun 1, 2009	no	SAN DIEGO, CA	Previous registration
RJL FINANCIAL NETWORK, L.L.C.	n/a	Apr 19, 2004	Feb 22, 2006	no	OMAHA, NE	Previous registration
RAYMOND J. LUCIA COMPANIES, INC.	n/a	Oct 24, 2003	Aug 22, 2007	no	SAN DIEGO, 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
UBS FINANCIAL SERVICES INC.	LPL FINANCIAL LLC	May 13, 2021	Apr 27, 2021	-16	Firm change	Wirehouse to ibd
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Feb 6, 2013	Jan 15, 2013	-22	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
RAYMOND J. LUCIA COMPANIES, INC.	RJL FINANCIAL NETWORK, L.L.C.	Aug 22, 2007	Apr 19, 2004	-1,220	Firm change after gap	Other
RJL FINANCIAL NETWORK, L.L.C.	CITIGROUP GLOBAL MARKETS INC.	Feb 22, 2006	Aug 17, 2007	541	Firm change after gap	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 27, 2021 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 15, 2013 to May 13, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Feb 6, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 17, 2007 to Jun 1, 2009factForm ADV
→ RAYMOND J. LUCIA COMPANIES, INC.Registered adviserregistration: previous registration
Oct 24, 2003 to Aug 22, 2007factForm ADV
→ RJL FINANCIAL NETWORK, L.L.C.Registered adviserregistration: previous registration
Apr 19, 2004 to Feb 22, 2006factForm ADV

Dated events

No dated event names this entity yet.