Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cuong? Claim Your ProfileCuong T Oum is a financial advisor registered with Wells Fargo Clearing Services, LLC. Cuong has over 20 years of experience in the financial services industry and has held previous roles with WELLS FARGO INVESTMENTS, LLC, CHASE INVESTMENT SERVICES CORP., WAMU INVESTMENTS, INC., and MORGAN STANLEY DW INC. Cuong holds the Series 7 and Series 66 securities licenses. In addition, Cuong holds the SIE exam, which is required for all new entrants into the securities industry. Cuong is currently registered in Arizona, California, Florida, Hawaii, Illinois, Missouri, New Jersey, New Mexico, New York, Oregon and Washington. Cuong is also registered as an investment advisor in California. Cuong's specializations include portfolio management for individuals, portfolio management for businesses, investment consulting services to institutional clients, 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
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (SAN FRANCISCO CA)
CA
06/25/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
05/02/2009 - 06/24/2009
CHASE INVESTMENT SERVICES CORP. (SAN FRANCISCO CA)
CA
07/12/2001 - 05/02/2009
WAMU INVESTMENTS, INC. (SAN FRANCISCO CA)
NY
10/24/2000 - 06/18/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 11/02/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2000
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 Cuong Oum is the right advisor for you? Invested Better is here to help.
