Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chuck? Claim Your ProfileChuck Wong is a financial advisor with over 15 years of experience in the financial services industry. Chuck has worked with Wells Fargo Clearing Services, LLC since September 2022. Prior to joining Wells Fargo Clearing Services, LLC, Chuck worked with Charles Schwab & Co., Inc., TD Ameritrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and several other firms. Chuck is a CERTIFIED FINANCIAL PLANNER™ professional and holds the Series 7, 9, 10, 24, 26, 63, 66, and SIE licenses. Chuck is registered in Arkansas, California, Florida, Illinois, Massachusetts, New York, Oregon, Texas, Utah and Washington to provide investment advisory and brokerage services. Chuck specializes in providing financial planning and portfolio management for individuals and businesses. Chuck's other business activities include serving as a 50% owner of Ginko Vend LLC, a vending machine company, and owning a car rental business with his spouse.
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
09/06/2022 - Present
Wells Fargo Clearing Services, LLC (PALO ALTO CA)
CA
09/23/2021 - 09/20/2022
CHARLES SCHWAB & CO., INC. (San Francisco CA)
CA
08/07/2019 - 10/20/2021
TD AMERITRADE, INC. (WALNUT CREEK CA)
CA
03/26/2018 - 08/01/2019
CHARLES SCHWAB & CO., INC. (San Ramon CA)
CA
09/27/2016 - 03/28/2018
BANCWEST INVESTMENT SERVICES, INC. (CAMPBELL CA)
CA
08/05/2015 - 10/03/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CUPERTINO CA)
CA
03/03/2015 - 07/22/2015
SCOTTRADE, INC. (SAN JOSE CA)
CA
07/01/2014 - 12/31/2014
CITIGROUP GLOBAL MARKETS INC. (OAKLAND CA)
CA
10/01/2012 - 12/31/2013
J.P. MORGAN SECURITIES LLC (BERKELEY CA)
CA
11/30/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BERKELEY CA)
CA
10/24/2008 - 10/06/2010
CITIGROUP GLOBAL MARKETS INC. (OAKLAND CA)
CA
09/05/2005 - 02/09/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
BOTH
Issued 10/18/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/14/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/06/2014
Series 24 - General Securities Principal Examination
BC
Issued 12/08/2008
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2005
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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