DFX Intelligence

Data Factory

RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)18 years in industry

Kai Tian

Advisor at LPL ENTERPRISE, LLC

IRVINE, CA | ORANGE, CA

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:e603feff-6bf7-d7fb-2e5e-d21f1afbe17a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2008 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 ENTERPRISE, 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: Jan 5, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Chartered Financial Analyst
Exams: S66
First exam: Feb 25, 2022
First registration: Jan 5, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5414556

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 ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	IRVINE, CA\|ORANGE, CA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Nov 3, 2023	Nov 14, 2024	no	ORANGE, CA	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Sep 26, 2022	Oct 5, 2023	no	LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 5, 2008	Aug 4, 2008	no	PALO ALTO, 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
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
PARK AVENUE SECURITIES LLC	PRUCO SECURITIES, LLC	Oct 5, 2023	Nov 3, 2023	29	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PARK AVENUE SECURITIES LLC	Aug 4, 2008	Sep 26, 2022	5,166	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (4)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 3, 2023 to Nov 14, 2024factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Sep 26, 2022 to Oct 5, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 5, 2008 to Aug 4, 2008factForm ADV

Dated events

Occurred
Oct 5, 2023
Advisor changed firm
Kai Tian left Park Avenue Securities Llc for Pruco Securities, Llc (registered 2023-11-03)
Form ADVobserved 5 days ago