Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mia? Claim Your ProfileMia Kao Hershiser is an investment advisor representative who has been in the industry since 1996. Mia holds Series 63, 65, 7 and SIE licenses and is registered with the state of California and Texas. Mia is currently employed with Robert W. Baird & Co. Inc. with her main office located in Sacramento, CA.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CA
04/30/2024 - Present
Robert W. Baird & Co. Inc. (SACRAMENTO CA)
CA
01/03/2011 - 05/07/2024
WELLS FARGO CLEARING SERVICES, LLC (SACRAMENTO CA)
CA
07/10/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SACRAMENTO CA)
AL
05/19/2000 - 05/30/2001
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
CA
11/05/1996 - 05/05/2000
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
05/03/1996 - 09/23/1996
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 06/08/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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