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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

CHAD DAVID LEE

Advisor at LPL FINANCIAL LLC

MADISON, WI | DEFOREST, WI

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Search this name across graphsid dfx:ria:e9ed8a06-5919-3578-10b3-b3f343ed5bec

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 14, 2015 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: Aug 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 13, 2015
First registration: Jan 14, 2015
Dual registered: yes, broker-dealer
Other names: Chad Lee|Chad David Lee
IAPD individual key: 6382120

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 28, 2025	n/a	yes	DEFOREST, WI\|MADISON, WI	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Apr 22, 2025	no	MIDDLETON, WI\|MIDDLETON, WI\|BOSTON, MA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Nov 22, 2021	Mar 31, 2025	no	MIDDLETON, WI	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Nov 8, 2019	Nov 2, 2021	no	MADISON, WI	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Jan 14, 2015	Oct 18, 2019	no	Madison West, WI\|Janesville, WI\|Madison West, WI	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
STRATEGIC ADVISERS LLC	LPL FINANCIAL LLC	Apr 22, 2025	Apr 28, 2025	6	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
THRIVENT INVESTMENT MANAGEMENT INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Nov 2, 2021	Nov 22, 2021	20	Firm change	Ibd to ibd
ROBERT W. BAIRD & CO. INCORPORATED	THRIVENT INVESTMENT MANAGEMENT INC.	Oct 18, 2019	Nov 8, 2019	21	Firm change	RIA to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
104555:6413:MA:2025-04-10	Apr 22, 2025	Apr 28, 2025	BOSTON, MA	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Apr 28, 2025 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Apr 22, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Nov 22, 2021 to Mar 31, 2025factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Nov 8, 2019 to Nov 2, 2021factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Jan 14, 2015 to Oct 18, 2019factForm ADV

Dated events

Occurred
Apr 22, 2025
Advisor changed firm
Chad David Lee left Strategic Advisers Llc for Lpl Financial Llc (registered 2025-04-28)
Form ADVobserved 6 days ago