Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wayne? Claim Your ProfileWayne Zhong is a financial advisor with Oppenheimer & Co. Inc., a well-established firm managing over $10 billion in assets. Wayne has been in the industry for over 18 years, starting his career at World Group Securities, Inc. in 2004. Prior to joining Oppenheimer & Co. Inc., Wayne worked at J.P. MORGAN SECURITIES LLC and UBS FINANCIAL SERVICES INC. in California. Wayne is a Series 6, 7, 63, and 65 licensed financial advisor with a designation as a Chartered Financial Analyst. Wayne specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
09/13/2022 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
CA
09/07/2021 - 09/10/2022
J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)
CA
05/13/2013 - 09/02/2021
UBS FINANCIAL SERVICES INC. (PALO ALTO CA)
CA
04/19/2006 - 05/02/2013
OPPENHEIMER & CO. INC. (SAN FRANCISCO CA)
CA
03/10/2006 - 04/12/2006
INTEGRAL FINANCIAL LLC (SAN JOSE CA)
GA
03/23/2004 - 12/06/2005
WORLD GROUP SECURITIES, INC. (DULUTH GA)
IA
Issued 08/08/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2006
Series 7 - General Securities Representative Examination
BC
Issued 03/20/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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