Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allen? Claim Your ProfileAllen Cheng Tsai is a financial advisor with over 25 years of experience in the financial services industry. Allen is currently registered with Wells Fargo Clearing Services, LLC in California and Texas. Allen has held previous positions with firms including Wamu Investments, Inc., IFMG Securities, Inc., and T. Rowe Price Investment Services, Inc. Allen specializes in providing financial planning, investment consulting services to institutional clients, and portfolio management for both businesses and individuals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
01/10/2014 - Present
Wells Fargo Clearing Services, LLC (IRVINE CA)
CA
11/03/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (NEWPORT BEACH CA)
CA
05/02/2009 - 11/02/2009
CHASE INVESTMENT SERVICES CORP. (IRVINE CA)
CA
12/06/2004 - 05/02/2009
WAMU INVESTMENTS, INC. (IRVINE CA)
NY
11/08/2004 - 11/11/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
04/29/2004 - 08/09/2004
IFMG SECURITIES, INC. (PURCHASE NY)
CA
09/06/2002 - 03/01/2004
WM FINANCIAL SERVICES, INC. (IRVINE CA)
IL
11/25/1996 - 09/23/2002
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
MD
03/18/1996 - 11/01/1996
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
IA
Issued 12/16/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/18/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2002
Series 7 - General Securities Representative Examination
BC
Issued 03/15/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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