Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Huy Do is a financial advisor with Wells Fargo Clearing Services, LLC, registered with FINRA and the SEC. Christopher has over 20 years of experience in the financial services industry. Christopher's previous roles include Financial Advisor at UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Christopher holds the Series 63, Series 65, Series 7 and SIE licenses. Christopher provides investment consulting services to institutional clients, financial planning, pension consulting and selection of other advisors.
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
06/12/2021 - Present
Wells Fargo Clearing Services, LLC (SAN FRANCISCO CA)
CA
03/06/2009 - 05/25/2018
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
12/06/2004 - 03/10/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NY
08/14/2001 - 11/30/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
03/24/2000 - 11/17/2000
LIMITRADER SECURITIES, INC. (NEW YORK NY)
IL
03/18/1998 - 07/13/1999
FIMAT USA, INC. (CHICAGO IL)
IA
Issued 10/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/24/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/1998
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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