Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rochelle? Claim Your ProfileRochelle Yonghong Tang is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Rochelle has been in the industry since 2001 and is registered to provide investment advice in California and Texas. Rochelle has held previous positions at UBS Financial Services Inc., Morgan Stanley, Charles Schwab & Co., Inc. and E*TRADE Securities LLC. Rochelle holds several licenses including Series 3, 7, 9, 10, 24, 63 and 66.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
CA
08/11/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
CA
10/09/2018 - 07/05/2022
UBS FINANCIAL SERVICES INC. (San Francisco CA)
CA
08/26/2014 - 06/04/2018
MORGAN STANLEY (SAN MATEO CA)
CA
03/26/2013 - 09/04/2014
CHARLES SCHWAB & CO., INC. (SAN RAMON CA)
CA
06/10/2009 - 02/25/2013
E*TRADE SECURITIES LLC (PALO ALTO CA)
CA
03/19/2001 - 12/10/2007
CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)
BOTH
Issued 06/27/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/24/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/10/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/07/2010
Series 24 - General Securities Principal Examination
BC
Issued 06/04/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2015
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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