Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wai? Claim Your ProfileWai Chan is a registered representative and investment advisor representative with Wells Fargo Clearing Services, LLC. Wai has been in the securities industry since May 2006 and has been with Wells Fargo Clearing Services, LLC since November 2016. Wai specializes in providing financial planning, investment consulting services to institutional clients, and portfolio management for individuals and businesses. Wai holds the Series 7, Series 66, and SIE securities licenses and is registered to conduct business in 12 states including California, Texas, Florida, Hawaii, Massachusetts, Nevada, New York, Pennsylvania, Arizona, Washington, and others. Wai has previously worked for Wells Fargo Investments, LLC.
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
08/04/2021 - Present
Wells Fargo Clearing Services, LLC (FREMONT CA)
CA
09/17/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (FREMONT CA)
CA
06/30/2005 - 10/17/2007
WELLS FARGO INVESTMENTS, LLC (FREMONT CA)
BOTH
Issued 08/10/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2005
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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