Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony Ziyi Peng is an investment advisor representative at Wells Fargo Clearing Services, LLC, with over 11 years of experience in the industry. Peng holds a Series 7, Series 63 and Series 66 license, as well as the Securities Industry Essentials (SIE) designation. Peng has held previous positions at HSBC Securities (USA) INC. and CETERA INVESTMENT SERVICES LLC. Peng's current office is located in WALNUT CREEK, CA, and Peng serves clients in California, Illinois, Minnesota, New Jersey, New York, Texas and Washington.
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
07/27/2023 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
IL
08/21/2020 - 07/31/2023
HSBC SECURITIES (USA) INC. (Chicago IL)
IL
03/14/2018 - 07/31/2020
CETERA INVESTMENT SERVICES LLC (CHICAGO IL)
IL
06/21/2013 - 03/12/2018
WELLS FARGO CLEARING SERVICES, LLC (DEERFIELD IL)
IL
06/13/2012 - 06/19/2013
NEW ENGLAND SECURITIES (NORTHBROOK IL)
BOTH
Issued 02/22/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/20/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2012
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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