Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chia? Claim Your ProfileChia Lai is a financial advisor with Wells Fargo Clearing Services, LLC, located in Fresno, CA. Chia has been in the financial services industry since 2000 and has a strong track record of providing investment advice to individuals and institutions. Chia is registered to offer securities and investment advisory services in multiple states across the U.S., and holds a Series 7, Series 63, and Series 65 licenses.
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
05/06/2013 - Present
Wells Fargo Clearing Services, LLC (FRESNO CA)
CA
05/19/2006 - 04/01/2013
RBC CAPITAL MARKETS, LLC (FRESNO CA)
CA
07/01/2003 - 05/22/2006
WACHOVIA SECURITIES, LLC (FRESNO CA)
NY
08/14/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/22/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/2000
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
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