Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thai? Claim Your ProfileThai Thanh Hoang is a financial advisor at Wells Fargo Clearing Services, LLC. Thai has been in the industry since 1993. Thai holds a Series 3, 7, 63, and 65 license. Thai also holds the SIE exam. Thai has over 20 years of experience in the financial services industry. Prior to joining Wells Fargo Clearing Services, LLC, Thai worked at Wells Fargo Investments, LLC, Wells Fargo Securities Inc, Prudential Securities Incorporated, and Smith Barney Inc. Thai is a registered representative with FINRA and is licensed to provide investment advice in multiple states, including California, Texas, Arizona, Colorado, Georgia, Hawaii, Illinois, Louisiana, Missouri, Montana, Nevada, New York, Utah, Washington and Wyoming.
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.
1
2
CA
11/18/2016 - Present
Wells Fargo Clearing Services, LLC (IRVINE CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (NEWPORT BEACH CA)
CA
10/31/1997 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
09/24/1996 - 09/19/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/26/1993 - 06/21/1996
SMITH BARNEY INC. (NEW YORK NY)
CA
08/13/1993 - 08/26/1993
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 01/06/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/19/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1995
Series 3 - National Commodity Futures Examination
BC
Issued 08/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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