Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Soto is a financial advisor at Wells Fargo Clearing Services, LLC. Sergio has been in the industry since June 2014 and holds a Series 6, 7TO, 63, and 66 license. Sergio is also a registered Investment Advisor representative in California. Sergio has previous experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated, UnionBanc Investment Services, LLC, and J.P. Morgan Securities LLC. Sergio is dedicated to providing financial advice and planning to individuals, corporations, 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
04/10/2024 - Present
Wells Fargo Clearing Services, LLC (ANAHEIM CA)
CA
03/27/2023 - 03/28/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SANTA ANA CA)
CA
01/14/2016 - 05/20/2019
UNIONBANC INVESTMENT SERVICES, LLC (IRVINE CA)
CA
10/01/2012 - 11/24/2014
J.P. MORGAN SECURITIES LLC (SANTA ANA CA)
CA
06/22/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SANTA ANA CA)
BOTH
Issued 04/27/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/30/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/25/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2009
Series 6 - Investment Company Products/Variable Contracts 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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