Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Constance? Claim Your ProfileConstance Sugimoto is a financial advisor who has been in the industry since 1989. Constance is currently registered with Wells Fargo Clearing Services, LLC in California and Texas. Constance has previously been registered with several other firms, including Wells Fargo Investments, LLC, VALIC Financial Advisors, Inc., UBS Financial Services Inc., and Prudential Securities Incorporated. Constance is licensed in several states, including California, Texas, Alabama, Arizona, Arkansas, Colorado, Connecticut, Florida, Hawaii, Idaho, Illinois, Indiana, Kansas, Maryland, Michigan, Minnesota, Missouri, Nevada, New Jersey, New York, North Carolina, Oregon, Pennsylvania, Tennessee, Utah, Virginia, Washington, Wisconsin, and Wyoming. Constance specializes in providing financial advice to high-net-worth individuals, businesses, corporations, and charitable organizations. Constance also provides investment consulting services to institutional clients.
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
11/03/2016 - Present
Wells Fargo Clearing Services, LLC (ROSEVILLE CA)
CA
04/10/2007 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ROSEVILLE CA)
CA
11/24/2004 - 04/04/2007
VALIC FINANCIAL ADVISORS, INC. (ROSEVILLE CA)
NJ
04/08/1993 - 03/11/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
01/04/1993 - 03/02/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CA
06/22/1988 - 12/22/1992
INTERCAL SECURITIES CO. (SACRAMENTO CA)
IA
Issued 10/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
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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