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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephanie? Claim Your ProfileStephanie Wong is a financial advisor registered with UBS Financial Services Inc. and is based in Mill Valley, California. Stephanie has been in the financial services industry for over 20 years and has experience with a variety of firms including Robert W. Baird & Co. Incorporated and Wells Fargo Advisors, LLC. Stephanie holds the Series 7, Series 66, and SIE exams. Stephanie is able to provide a variety of financial services, including portfolio management, financial planning, and pension consulting.
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.
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.
See schedule d - miscellaneous
1
2
CA
01/22/2020 - Present
UBS Financial Services Inc. (Mill Valley CA)
CA
03/04/2011 - 02/14/2020
ROBERT W. BAIRD & CO. INCORPORATED (Mill Valley CA)
MO
01/03/2011 - 03/10/2011
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
CA
11/06/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
04/25/2008 - 11/11/2009
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
05/31/2001 - 04/21/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)
BOTH
Issued 09/05/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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