Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vickie? Claim Your ProfileVickie Yumiko Tanabe is a registered representative with Wells Fargo Clearing Services, LLC. She is licensed to provide financial services in Arizona, California, Colorado, Florida, Georgia, Massachusetts, Michigan, Nevada, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Virginia, Washington and Wisconsin. Vickie has been in the securities industry since 1998. Prior to joining Wells Fargo Clearing Services, LLC, Vickie was employed by Prudential Securities Incorporated. Vickie holds the Series 63, Series 65 and Series 7 licenses as well as the SIE.
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
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (SEAL BEACH CA)
NY
01/20/1998 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/28/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1998
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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