Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Helen? Claim Your ProfileHelen Cheng is a financial professional with over 27 years of experience in the industry. Helen is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since July of 2015. Helen is also registered as an Investment Advisor Representative in California. Prior to working for Wells Fargo Clearing Services, LLC, Helen was registered with Morgan Stanley and Charles Schwab & Co., Inc. Helen specializes in providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions.
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
09/15/2023 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
08/30/2010 - 07/23/2015
MORGAN STANLEY (PALO ALTO CA)
CA
03/27/2003 - 07/29/2010
CHARLES SCHWAB & CO., INC. (FREMONT CA)
TX
06/29/1994 - 07/16/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 12/05/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/29/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1994
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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