Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ben? Claim Your ProfileBen Pang Szeto is a financial advisor registered with Wells Fargo Clearing Services, LLC. Ben has been in the financial services industry since June 2004. Ben has offices in Walnut Creek and Alameda, California. Prior to joining Wells Fargo, Ben worked at several other firms including Univest Securities, Inc. DBA Universal Financial Group, Chase Investment Services Corp., WAMU Investments, Inc., Banc of America Investment Services, Inc., Citigroup Investment Services and Wells Fargo Investments, LLC. Ben holds the Series 7 and Series 66 licenses. Ben also holds the Securities Industry Essentials Examination (SIE) license.
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.
1
2
CA
10/02/2023 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
NY
06/08/2011 - 11/17/2011
UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP (NEW YORK NY)
CA
05/02/2009 - 06/12/2009
CHASE INVESTMENT SERVICES CORP. (SAN FRANCISCO CA)
CA
05/21/2007 - 05/02/2009
WAMU INVESTMENTS, INC. (SAN FRANCISCO CA)
CA
05/28/2004 - 04/02/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANSICO CA)
NY
04/08/2004 - 05/11/2004
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
05/02/2001 - 04/26/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
12/19/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
BOTH
Issued 04/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2000
Series 7 - General Securities 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
Not sure Ben Szeto is the right advisor for you? Invested Better is here to help.
