Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Niya? Claim Your ProfileNiya Xie is a financial advisor with over 15 years of experience in the financial services industry. Niya has worked with Wells Fargo Clearing Services, LLC since January 2021 and has held previous roles at J.P. Morgan Securities LLC, Wells Fargo Advisors, LLC, Charles Schwab & Co., Inc. and other financial firms. Niya holds a Series 7, Series 63, and Series 66 securities license.
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
01/22/2021 - Present
Wells Fargo Clearing Services, LLC (REDWOOD CITY CA)
CA
11/18/2015 - 01/14/2021
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
09/19/2013 - 10/07/2015
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
05/18/2004 - 07/09/2009
CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)
CA
11/24/2003 - 06/02/2004
AMERICAL SECURITIES, INC. (SAN FRANCISCO CA)
NY
11/29/2001 - 09/09/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
TX
11/01/2000 - 09/17/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 10/03/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/13/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/2013
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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