Unclaimed
Wayne Koh is a financial professional with over 25 years of experience in the industry. He is currently registered with Fidelity Brokerage Services LLC and has previously held positions at several other firms including USAA Financial Advisors, Inc., Scottrade, Inc., E*TRADE Securities LLC, TD Waterhouse Investor Services, Inc., Advanced Clearing, Inc., Ameritrade, K. Aufhauser & Company, Inc., and South Richmond Securities, Inc.. Wayne holds the Series 4, 7, 24, 52TO, 63 and 6TO licenses. He is registered in 53 states and the District of Columbia.
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.
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.
1
2
UT
02/08/2021 - Present
Fidelity Brokerage Services LLC (SALT LAKE CITY UT)
AZ
05/23/2019 - 02/07/2020
USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)
CA
05/18/2004 - 08/21/2017
SCOTTRADE, INC. (SOQUEL CA)
NJ
07/28/2003 - 05/17/2004
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NE
10/02/2002 - 02/10/2003
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NE
08/28/1998 - 05/04/2001
ADVANCED CLEARING, INC. (OMAHA NE)
NE
08/19/1998 - 04/25/2001
AMERITRADE (BELLEVUE NE)
NE
10/08/1997 - 06/30/1998
AMERITRADE (BELLEVUE NE)
NE
03/01/1993 - 10/07/1997
K. AUFHAUSER & COMPANY, INC. (OMAHA NE)
NA
06/01/1992 - 08/10/1992
SOUTH RICHMOND SECURITIES, INC.
BC
Issued 06/10/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/1997
Series 24 - General Securities Principal Examination
BC
Issued 11/03/1995
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 08/21/2017
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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